Towards Results-Based Developmental Public Governance in the Cape Town City-Region of South Africa

TOWARDS RESULTS-BASED DEVELOPMENTAL PUBLIC GOVERNANCE IN THE CAPE TOWN CITY-REGION OF SOUTH AFRICA.

WILLIAM JAMES SEWELL

THESIS

In completion of the requirements for the degree

DOCTOR LITTERANUM et PHILOSOPHIAE

PUBLIC GOVERNANCE

at the

UNIVERSITY OF JOHANNESBURG

within the

Faculty of Humanities

Supervisor: Prof G.S. CLOETE

August 2012

STATEMENT

I hereby confirm that the thesis submitted by me in fulfilment of the degree of Doctor Litteranum et Philosophiae In Public Governance to the University of Johannesburg is my independent work and has not been submitted by me for a degree at any other faculty or university.

WILLIAM JAMES SEWELL

April 2012

ACKNOWLEDGEMENTS

In researching, developing, defining and refining this thesis, the interviews and dialogic interactions with scores of people in many countries and governance contexts have been a stimulating learning experience.

I express my sincere gratitude for the insights and guidance gained from public governance scholars, performance improvement practitioners, community leaders and political decision-makers who have shared their developmental governance experiences and frustrations freely; where necessary, challenging my assumptions, analyses and adjunctions vigorously.

More than anyone else, my thanks are due to my wife, Judy – her skills and support in editing, administering and quality assurance have been unstinting. Without her encouragement and support, this thesis would not have reached completion. Words cannot express my appreciation for your love and patience throughout this demanding research, analysis and evaluation project, Judy.

ABSTRACT

Towards results-based developmental public governance in the Cape Town City-region of South Africa.

South Africa’s negotiated revolution in 1994 was hailed by many observers as a beacon to other societies wracked by ethnic conflict. The Constitution adopted in 1996 was widely endorsed by most South Africans and by international commentators, as a model for building an equitable, developmental state, uniting the diverse aspirations of citizens.

The author’s political and professional roles in recent decades has involved him in several dimensions of the democratic transition; and has made him acutely aware of the results-based urban governance debates, drivers and developmental dilemmas. Significant motivation for this thesis’ problem statement was that the constitutional vision, values and principles have been compromised by the processes of redefining the democratic state – exacerbated by the public governance caveats of political greed, managerial incompetence and systematic corruption of state power. Available evidence of systemic progress in the post-1994 public governance implementation and outcomes has been frequently negative, yet substantially inconclusive, in terms of the achievement of democratic equity and socio-economic development. The particular focus of the thesis is on the results-based co-operative government imperatives of rapid urbanisation and sustainable socio-economic urban development across the Cape Town City-region. Although the concept of a functional city-region is relatively new in South Africa, the significance of results-based urban developmental public governance has been internationally recognised and has been highlighted by the South African Cities Network, in its State of Cities reports. Expectations of effective community engagement and equitable services in the geo-politically heterogeneous, rapidly expanding Cape Town City-region, second most populous in South Africa, were the subject of the insightful Organisation for Economic Co-operation and Development Territorial

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Review (2008). This review, one of an international series of city-regional studies, has served as the thesis baseline for the Cape Town City-regional developmental governance assessment, analysis and formative evaluation.

In undertaking the cross-national action research for this interdisciplinary, mixed- methods evaluation study, the thesis goal was to identify significant results-based developmental governance enablers and inhibitors, within a theoretical framework formulated to address two interlinked research questions:

What original model of exemplary practices should define and inform effective results-based public governance, management and performance improvement in the South African developmental state, in order to facilitate effective realisation of national Constitutional principles and sustainable city- regional socio-economic developmental practices?

Evaluated within such a public performance model, how effective have South African results-based public governance policies, regulatory frameworks, organisational and performance improvement strategies been in achieving socio-economic developmental goals within the constitutional context, as evidenced in the heterogeneous, rapidly urbanising Cape Town City-region?

While the thesis research is not conclusive, but is part of a continuing search for answers and potentially effective urban developmental public governance strategies, key formative evaluation findings may be summarised as follows:

• The public governance performance model, developed by the author from a cross-national literature review and diligent study of exemplary practices of development agencies and practitioners, provides a relevant and reliable framework for results-based governance planning and indicative assessment; • While the South African constitutional vision and principles are underpinned by sound developmental policies, regulatory frameworks and oversight institutions; public governance results are often compromised by political and managerial ineffectiveness and lack of accountability or consequences; and • In the Cape Town City-regional context, while past political volatility has undermined socio-economic cohesion, current public/private initiatives towards an Economic Development Partnership provide a potential platform for effective facilitation of inclusive intergovernmental results-based collaboration.

TABLE OF CONTENTS

STATEMENT i

ACKNOWLEDGEMENTS ii

ABSTRACT iii

TABLE OF CONTENTS v

LIST OF FIGURES xvii

LIST OF TABLES xix

LIST OF ABBREVIATIONS xxi

CHAPTER 1: GREAT EXPECTATIONS FOR RESULTS-BASED DEVELOPMENTAL PUBLIC GOVERNANCE IN SOUTH AFRICA

1.1 Developmental Governance: Vision or Vacuum? 1

1.1.1 Urban developmental debates and drivers 3

1.1.2 Motivation for thesis problem statement 5

1.1.3 Developmental dilemmas and disjunctures? 6

1.2 Public Governance: Polity, Processes and Praxis 8

1.2.1 Public governance goals for reconstruction & redress? 9

1.3 South Africa’s Constitutional Vision and Values 11

1.3.1 ‘Ready to Govern’ for ‘Reconstruction and Development’ 11

1.3.2 Constitutional principles of the Republic of South Africa, 1996 12

1.3.3 Research objectives for transformative urban development 13

1.3.4 Presidential Progress Reviews 16

1.3.5 Constitutional complexities of public governance in South Africa 17

1.4 Problem Statement, Research Goals and Questions 19

1.4.1 Problem statement 19

1.4.2 Research goals 20

1.4.3 Research questions 21

1.5 Research Methodology 21

1.6 Structure of this Study 24

1.7 Conclusion 26

CHAPTER 2: CURRENT STATE OF KNOWLEDGE ABOUT ORGANISATIONAL MANAGEMENT AND RESULTS-BASED PUBLIC GOVERNANCE

2.1 Introduction: Evolution of Modern Management Theory and 30 Results-Based Public Governance Practices

2.2 Results-Based Management Theories 30

2.2.1 Management by Objectives 32

2.2.2 Situational Leadership Style and Follower Responses 32

2.2.2.1 Situational Leadership Theory 32

2.2.2.2 Coaching and capacity for performance enhancement 34

2.2.3 Performance Management 34

2.2.4 In Search of Excellence for Results-based Management 35 attributes

2.2.5 The Balanced Scorecard results-based methodology 36

2.2.6 Gilbert’s Behaviour Engineering and Binder’s Six Boxes models 36

2.3 Results-Based Management Theory into Practice 37

2.3.1 Strategic purpose 38

2.3.2 Administrative purpose 38

2.3.3 Communication purpose 39

2.3.4 People development purpose 39

2.3.5 Organisational maintenance purpose 39

2.3.6 Documentation purpose 39

2.4 Perceived Value of Results-Based Management Systems 39

2.4.1 Human Performance Technology model 40

2.5 New Public Management: The Business of Governance 42

2.5.1 Nature and Scope of Public Governance 43

2.5.2 Determinants of Results-based Public Governance 44

2.6 Assessment of International Body of Knowledge 46

2.7 Theme 1: Building the Public Services of Tomorrow with, for and 47 around Communities

2.7.1 The United Nations World Public Sector Report (2008) People 47 Matter: Civic Engagement in Public Governance

2.7.2 The Organisation for Economic Co-operation and Development 49

2.7.3 The International City / County Management Association 49

2.7.4 The Urban Institute Center on International Development and 50 Governance

2.8 Theme 2: Innovative Leadership Skills for Governance 51 Excellence

2.8.1 Limitations of government systems 52

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2.8.2 The Public Sector’s Secret Weapon: Connection to the Job 53

2.8.3 Results-based governance leadership: the CitiStat phenomenon 54

2.8.4 Public Leadership: What it takes to Change Government 55

2.9 Theme 3: Competence And Capacity For Results-Based, 56 Accountable Public Management

2.9.1 Modernisation of Governance: the 2001 British strategy 57

2.9.2 ICMA and UN-HABITAT: Practices for Effective Local 57 Governance

2.10 Theme 4: Results-Based Governance Tools: Planning, 58 Budgeting, Monitoring & Evaluation, Auditing

2.10.1 Effective Tools for Accountable Public Management 59

2.10.2 Building a Public Performance Culture: from Measurement to 60 Management

2.10.3 Policy and Performance Results Evaluation and Audit 62

2.11 Theme 5: Strategic Human Capital Development 65

2.11.1 Fit for Business in Public Governance 66

2.11.2 Public Sector Workforce Planning and Talent Management 67

2.12 Conclusion: An African Public Performance Model 68

CHAPTER 3: SOUTH AFRICAN DEVELOPMENTAL DYNAMICS: GOVERNANCE PRIORITIES AND MANAGEMENT CAPACITY

3.1 Introduction: Contextualising the Democratic Developmental 71 State in South Africa

3.2 Co-operative Government: Developmental Results? 74

3.3 Goals of The Developmental State in South Africa 76

3.3.1 Local governance institutionalisation and integration 83

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3.4 Degrees and Types of Decentralisation in Results-Based 84 Developmental Governance

3.4.1 Devolution 86

3.4.2 Deconcentration 87

3.4.3 Delegation 87

3.4.4 Political 88

3.4.5 Administrative 89

3.4.6 Fiscal and Financial 91

3.5 Results-based Urban Governance Insights 93

3.5.1 Community engagement in Integrated Development Planning 93

3.5.1.1 Poor publicising of community meetings and issues 94

3.5.1.2 Communities do not understand the IDP processes 94

3.5.1.3 Language can be a barrier 94

3.5.1.4 Travelling to IDP consultation meetings is difficult and costly 94

3.5.1.5 IDP Community Consultation meetings were poorly facilitated 95

3.5.1.6 People do not trust their local government 95

3.5.2 Phumelela: protest and conflict in a Local Municipality 95

3.5.3 Community collaboration on the HIV & AIDS pandemic 96

3.5.4 Department of Public Service and Administration analysis of 97 sub-national developmental governance results and challenges

3.5.5 The South African Local Government Association 99

3.5.6 The South African Cities Network 100

3.6 Has the Metropolitan Vision of 1996 been achieved? 101

3.7 Social cohesion for results-based urban governance 106

3.8 Conclusion: Sustainable Urban Development and Results- 108 Based Co-Operative Government

CHAPTER 4: READY TO GOVERN? THE SOUTH AFRICAN REGULATORY FRAMEWORK FOR RESULTS-BASED PUBLIC GOVERNANCE

4.1 Introduction: Delivering Developmental Results? 111

4.2 Evolution of National Policies, Institutions and Programmes for 113 Results-Based Public Governance

4.2.1 Social Development context, governance strategy and 114 interventions

4.2.2 The Macro-economic governance strategy, goals and 115 interventions

4.2.3 Accelerated and Shared Growth Initiative for South Africa and 116 the National Industrial Policy Framework

4.3 S-A-F-R-I-C-A Public Performance Model Analysis of National 117 Results-Based Governance Frameworks

4.3.1 Strategic Vision & Mission which sets direction and inspires 118 action

4.3.1.1 National Initiatives for Results-Based Governance 120

4.3.1.2 Local Government Strategies: complexities of co-operative 123 government and results-based co-ordination

4.3.1.3 Local Government: Municipal Strategic Planning and 126 Performance Management Regulations

4.3.2 Accountability and Consequences for clearly defined results 127

4.3.2.1 The DPSA Handbooks on Public Service Performance 127 Management and Development and Management of Performance Agreements

4.3.2.2 Ministerial Delivery Agreements: Accountability Frameworks for 129 Results-Based Governance Outcomes

4.3.3 Financial alignment of resources with mission, risks and 131 outcomes

4.3.4 Recognition of effective leadership, governance and results 134

4.3.5 Investment in people, to develop technical & managerial 137 capacity

4.3.5.1 The White Paper on Affirmative Action in the Public Service 138

4.3.5.2 Human Resource Development for the Public Service: Strategic 138 Framework Vision 2015

4.3.5.3 The Public Administration Leadership and Management 139 Academy

4.3.5.4 Public Service Sector Education and Training Authority and 139 Local Government Sector Education and Training Authority

4.3.6 Community engagement, empowerment and co-ordination 141

4.3.7 Accessible data and evidence for planning, monitoring & 143 evaluation

4.3.7.1 The Presidency: Policy Framework for the Government-Wide 143 Monitoring & Evaluation System

4.3.7.2 The Public Service Commission, with its annual State of the 144 Public Service reports

4.3.7.3 Evidenced-based Planning, Monitoring & Evaluation: are there 145 adequate data sources for results-based governance?

4.4 Conclusion: Turning Public Governance Intent into Sustainable 148 Results-Based Development Management

CHAPTER 5: CITY-REGIONAL COLLABORATION AND GOVERNANCE: MANIFESTATIONS AND MANAGEMENT MODALITIES

5.1 Introduction: City-Regional Governance in Context 150

5.2 Typologies of City-Regional Growth 154

5.3 Cities for Citizens: Improving Metropolitan Governance 156

5.4 Curitiba, Brazil: Core City for Regional Innovation 158

5.5 Canada & Sweden: Seeking Competitive Advantage 160

5.6 Planning Technology Together: City-Region of Melbourne, 163 Victoria State, Australia

5.7 City-Regional Developmental Projects in Denmark 163

5.8 OECD Higher Education City-Regional Vision: Stronger, 165 Cleaner & Fairer Regions

5.8.1 OECD Reviews of Higher Education in Regional and City 166 Development

5.8.2 OECD Programme on Institutional Management in Higher 167 Education

5.9 International City/County Management Association: City- 168 Regional Collaboration in The New Normal

5.10 South African City Studies Conference, 2011: City Studies in the 171 World and South Africa

5.11 Gauteng City-Region Observatory: Work in Progress 173

5.12 Conclusion: Utility of a City-Regional Context for Developmental 176 Governance Collaboration?

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CHAPTER 6: URBAN DEVELOPMENTAL GOVERNANCE DYNAMICS OF THE CAPE TOWN CITY-REGION

6.1 Introduction: The Cape of Storms - Origins, Exclusions, 179 Conquests and New Frontiers

6.2 Constitutional Public Governance Powers and Functions within 181 the City-Region

6.2.1 In search of sectoral coherence and political collaboration 184

6.2.2 Western Cape Provincial Constitution 187

6.2.3 Western Cape socio-economic context and governance 188

6.2.4 Western Cape Provincial fiscal framework 190

6.2.5 Horizontal intergovernmental co-ordination in the City-region 192

6.2.6 Provincial development agencies and special purpose vehicles 194

6.3 Cape Town Urbanisation in Historical Perspective 196

6.4 Contemporary Cape Town City-regional Governance 197

6.4.1 Cape Metropolitan Area political / administrative structures 197

6.4.2 Results-based governance dynamics in the Cape Town City- 200 region

6.4.3 Public governance and urban management challenges: 206 enabling conditions for City-regional competitiveness

6.4.4 Developmental governance strategies for the City-region 210

6.4.5 Governing sustainability, liveability and attractiveness 213

6.5 Conclusion: An Inclusive and Sustainable City-region? 215

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CHAPTER 7: INITIATIVES FOR RESULTS-BASED CO-OPERATIVE GOVERNMENT IN THE CAPE TOWN CITY-REGION

7.1 Introduction: Cape of Good Hope Geo-Political Diversity and 218 Open Opportunity Governance

7.2 Blueprints for Modernisation: Western Cape Governance 220 Reform Initiatives, Action and Achievements

7.2.1 Blueprint: Organisation Design - Department of the Premier 221

7.2.1.1 Two results-based issues pertinent from this Blueprint 221

7.2.1.2 Findings and recommendations 222

7.2.2 Blueprint: Good Governance Recognition System 222

7.2.2.1 Development of a recognition system 223

7.2.2.2 Discussion: Excellence Model Theoretical Frameworks 223

7.2.2.3 Blueprint Recommendations 224

7.2.3 Blueprint: Organisational Culture and Values 224

7.2.3.1 Good practice model and guide 224

7.2.3.2 Racism and Prejudice 225

7.2.3.3 Organisational behaviour focus areas 225

7.3 Building the Best-Run Regional Government in the World with 226 Cross-Cutting Agendas

7.3.1 Department of the Premier: Annual Report 2010/2011 226

7.3.2 PGWC Provincial Strategic Objectives 228

7.3.3 Provincial Cabinet meets Higher Education in the Western Cape 229

7.3.4 Department of Social Development: Effectiveness Evaluation 231

7.3.5 Department of Economic Development and Tourism 232

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7.3.5.1 Reducing the costs of doing business in the Western Cape 233

7.3.5.2 Conceptualisation of the Economic Development Partnership 234

7.4 Results-Based Competence and Capacity: Municipal, Provincial 237 and National Governance Alignment

7.4.1 City of Cape Town 238

7.4.1.1 Integrated Development Plan and Budget 238

7.4.1.2 Getting the Governance Basics Right 238

7.4.1.3 Taking Cape Town into the 21st Century 239

7.4.1.4 Resolving the Cape Town City-regional Public Transport Crisis 241

7.4.1.5 Community Service Satisfaction Surveys in Cape Town 245

7.5. Provincial and National Government Results-based Alignment 246

7.6 Metropolitan and Local Municipality Results-based Alignment 247

7.6.1 Overlapping mandates: Cape Winelands District Municipality 248

7.6.2 Municipal Performance Management Systems 250

7.7 Conclusion: Results-Based City-regional Developmental 253 Governance Hopes and Horizons

7.7.1 Opinions and Perceptions of City-regional thought-leaders 254

7.7.2 Desktop Documentary Analysis 256

7.7.3 Economic Development Partnership: New Horizons for 258 Collaborative City-regional Governance?

CHAPTER 8: RESULTS-BASED CITY-REGIONAL DEVELOPMENT AND DEMOCRACY: ASSESSMENTS AND FORMATIVE EVALUATION RATINGS

8.1 Introduction: Developmental Public Governance: Building on 261 What Works

8.2 Most Significant Changes in the New South Africa 262

8.2.1 A Common Constitutional Vision 263

8.2.2 Reconstruction, Development and Macro-Economic Policy 263

8.2.3 The Inevitable Need for a Culture of Co-operation 264

8.2.4 The African Renaissance: Opportunities and Challenges 264

8.2.5 In Search of Equity in Land, Education and Lifestyles 265

8.3 Three Government Spheres In Results-Based Harmony? 266

8.4 Economic Development Partnership: Towards an Inclusive City- 269 regional Governance Model

8.5 Skills Development: A Learning Country and Cape? 273

8.6 The Western Cape: Best-Run Regional Government in the 279 World?

8.7 Results-Based Public Governance in South Africa: Formative 282 Evaluation Indicators

8.7.1 Accountability 283

8.7.2 Transparency and Open Information Systems 285

8.7.3 Organisational Effectiveness 286

8.7.4 Rule of Law 289

8.7.5 Technical Competence and Expertise 291

8.8 Conclusion: S-A-F-R-I-C-A Performance Model Revisited 295

8.8.1 Strategic Vision & Mission which sets direction and inspires 296 action

8.8.2 Accountability and Consequences for results 296

8.8.3 Financial Alignment of resources with mission, risks and 296 outcomes

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8.8.4 Recognition and reinforcement of effective governance results 297

8.8.5 Investment in people, to develop technical and managerial 297 capacity

8.8.6 Community engagement for democratic empowerment 297

8.8.7 Accessible data & evidence for planning, monitoring and 298 evaluation

8.8.8 Networking for Collaboration and Shared knowledge 298

9. REFERENCES 301

LIST OF FIGURES

2.1 Situational Leadership Styles 33

2.2 Equation of Worthy Performance 36

2.3 Human Performance Technology (HPT) Model 40

2.4 Aligning Strategy and People for Sustained Results 41

2.5 City of Charlotte – City Council’s Themes and Strategy Map 59

2.6 Performance Excellence Framework 62

2.7 Baldrige Criteria for Performance Excellence Framework 64

2.8 The S-A-F-R-I-C-A public performance model 69

3.1 ‘How are you feeling today?’ 72

3.2 Structure and functions of South African Government spheres 74

3.3 Local Government constitutional competencies; National & 80 Provincial Government regulatory powers

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LIST OF FIGURES

4.1 Divergent economic policy directions 122

4.2 Indicators of Governance Economy, Efficiency and Effectiveness 131

5.1 Changing Mindsets 160

6.1 Cape Town City-region in the Western Cape Province 179

6.2 GDP per capita in South Africa’s provinces, 1996 / 2006 189

6.3 Main expenditure categories of the Western Cape (2006) 190

6.4 The Cape Town City-region: showing the Cape Town 199 Metropolitan Municipality and six adjacent Local Municipalities.

6.5 Population densities and distances in Cape Town (2008) 203

7.1 City-regional Co-operative government: 218

Constitutional Complexities and Constraints

7.2 Barrett Seven Levels of Consciousness Model 224

7.3 Vision & Mission of the Provincial Government of the Western 226 Cape: Department of the Premier

7.4 Economic development and the three distinctive clusters of 234 activity – Growth, Development and Inclusion

7.5 EDP Co-operative Differentiation Model 235

7.6 Strategic Alignments – National Outcome 10 and Provincial 246 Strategic Objective 7

7.7 Pro-Poor Strategy extract from Cape Winelands District Rural and 248 Social Development Strategy

7.8 Municipal Performance Management System (PMS) 249

7.9 The Cape Town functional City-region: GDP shares 258

8.1 Structure of the Three Spheres of Government 265

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LIST OF FIGURES

8.2 Policy Framework for Economic and Human Development Co- 266 ordination of Three Spheres of Government

8.3 Examples of an economic inclusion agenda in the broader 269 agenda

8.4 DPSA Management Levels Competence Hierarchy 274

8.5 Western Cape Provincial Strategic Objective 12: conceptual 279 framework

8.6 The S-A-F-R-I-C-A-N public performance model for Results- 298 Based Developmental Governance

LIST OF TABLES

2.1 Comparison of Traditional Public Management and the 57 Leadership Skills needed to achieve Change

3.1 Detailed Structure of the Index of African Governance 77

3.2 Degrees and Types of Decentralisation 84

4.1 Core Management Competence criteria for Performance 127 Accountability

6.1 Overlaps in municipal and provincial functional areas, 181

as per the national Constitution

6.2 Agencies and SPVs in the Cape Town City-region 194

7.1 PGWC Provincial Strategic Objectives 228

7.2 Extract from DSD Efficiency and Effectiveness Evaluation 231

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LIST OF ABBREVIATIONS

ACC African Centre for Cities

AGSA Auditor-General of South Africa

AHP Analytic Hierarchy Process

AHRD Academy of Human Resource Development

ANC African National Congress

APP Annual Performance Plan

APSA American Political Science Association

AsgiSA Accelerated and Shared Growth Initiative for South Africa

ASPA American Society for Public Administration

ASTD American Society for Training and Development

AU African Union

BEE Black Economic Empowerment

BRT Bus Rapid Transit

CAGE Conflict and Governance Facility

CASAC Council for the Advancement of the South African Constitution

CBD Central Business District

CBO Community-based Organisation

CCT City of Cape Town

CDE Centre for Development and Enterprise

CDW Community Development Worker

CE Cambridge Econometrics

CEP Cape Economic Partnership

CHEC Cape Higher Education Consortium

CMA Cape Metropolitan Area

CMfSC Citizen Movement for Social Change

CMC Cape Metropolitan Council

CODESA Convention for a Democratic South Africa

CoGTA Department of Co-operative government and Traditional Affairs

COSATU Congress of South African Trade Unions

CPSI Centre for Public Sector Innovation

CSC UK Civil Service College

CSIR Council for Scientific and Industrial Research

CSVR Centre for the Study of Violence and Conflict Resolution

CTP Cape Town Partnership

CTRU Cape Town Routes Unlimited

CUBES Centre for Urbanism and Built Environment Studies

CWDM Cape Winelands District Municipality

DAF District Advisory Forums

DBSA Development Bank of Southern Africa

DDG Deputy Director-General

DED Department of Economic Development

DHET Department of Higher Education and Training

DORA Division of Revenue Act

DotP Department of the Premier

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DPRU UCT Development Policy Research Unit

DPSA Department of Public Service and Administration

DPSA-PRC Department of Public Service and Administration - Presidential Review Commission

DPW Department of Public Works

DRDLR Department of Rural Development and Land Reform

DSD Department of Social Development

DTI Department of Trade and Industry

EC European Commission

ECAAR–SA Economists Allied for Arms Reduction – South Africa

EDP Economic Development Partnership

EES European Evaluation Society

EGOS European Group for Organisational Studies

ERSA European Regional Science Association

ETU Education and Training Unit

EU European Union

FEDUP Federation of the Urban and Rural Poor

FFC Financial and Fiscal Commission

FIFA Federation of International Football Associations

GCRO Gauteng City-Region Observatory

GDP Gross Domestic Product

GEAR Growth, Employment and Redistribution

GNU Government of National Unity

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GPG Gauteng Provincial Government

GPRA US Government Performance and Results Act

GWM&E Government-Wide Monitoring and Evaluation

HIV&AIDS Human Immune Virus/ Acquired Immune Deficiency Syndrome

HoD Head of Department

HPT Human Performance Technology

HRD Human Resource Development

HSRC Human Sciences Research Council

ICMA International City / County Management Association

Idasa Institute for Democracy in Southern Africa

IDEA Andalusia Agency for Innovation and Development

IDP Integrated Development Planning

IDZ Industrial Development Zone

IEC Electoral Commission

IEG World Bank Independent Evaluation Group

IJR Institute for Justice and Reconciliation

IMHE Institutional Management in Higher Education

ISN Informal Settlement Network

ISPI International Society for Performance Improvement

Jipsa Joint Initiative on Priority Skills Acquisition

KAS Konrad Adenauer Stiftung

LCI Learning Cape Initiative

LGB Local Governance Barometer

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LGDA Local Government and Decentralisation in Albania

LGSETA Local Government Sector Education and Training Authority

LGTAS Local Government Turnaround Strategy

M&E Monitoring and Evaluation

MBO Management by Objectives

MDM Mass Democratic Movement

MECs Members of Executive Councils

MinMEC Minister/Member of Executive Council meeting

MPS Merit Principles Survey

MSDF Metropolitan Spatial Development Framework

MTEF Medium Term Expenditure Framework

MTSF Medium Term Strategic Framework

NAO National Audit Office

NAPA National Academy of Public Administration (USA)

NEDLAC National Economic Development and Labour Council

NEPAD New Partnership for Africa’s Development

NGO Non-governmental organisation

NGP New Growth Path

NIPF National Industrial Policy Framework

NPC National Planning Commission

NPM New Public Management

NQF National Qualifications Framework

NSDP National Spatial Development Perspective

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NURP National Urban Renewal Programme: implementation framework

ODA Official Development Aid

OECD Organisation for Economic Co-operation and Development

OED Operations Evaluation Department (World Bank)

OMB Office of Management and Budget (USA)

OWT One World Trust

PALAMA Public Administration Leadership and Management Academy

PART Program Assessment and Rating Tool

PA Performance Agreement

PCAS Policy Co-ordination and Advisory Service ( SA Presidency)

PCF Provincial Co-ordination Forum

PCS Premier's Council on Skills

PDC Provincial Development Council

PEPCO Planning and Environment Portfolio Committee

PGWC Provincial Government: Western Cape

PMCF Premier’s Metropolitan Co-ordination Forum

PMG Parliamentary Monitoring Group

PMMA Performance Measurement, Management and Accountability

PMS Performance Management System

PPMRN Public Performance Measurement and Reporting Network

PRASA Passenger Rail Authority of South Africa

PRC Presidential Review Commission

PSC Public Service Commission

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PSDF Provincial Spatial Development Framework

PSDF Provincial Skills Development Forum

PSETA Public Service Sector Education and Training Authority

PSM Public Service Motivation

PSO Public Sector Organisation

PSO 12 Provincial Strategic Objective 12

PSO Provincial Strategic Objective

PWV Pretoria-Witwatersrand-Vereeniging region

QCTO Quality Council for Trades and Occupations

RDP Reconstruction and Development Programme

RSA Republic of South Africa

SACN South African Cities Network

SADI South African Development Index

SADPA South African Development Partnership Agency

SALGA South African Local Government Association

SANGONet South African Non-Government Organisations Network

SAQA South African Qualifications Authority

SARS South African Revenue Services

SASAS South African Social Attitudes Surveys

SASSA South African Social Security Agency

SCOPA Standing Committee on Public Accounts

SDBIP Service Delivery and Budget Implementation Plan

SDF Spatial Development Framework

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SDI Shack/Slum Dwellers International

SETA Sector Education and Training Authority

Sida Swedish International Development Agency

SITA State Information Technology Agency

SIU Special Investigations Unit

SLA Sustainable Livelihoods Approach

SMS Senior Management Service

SoE State-owned Enterprise

SOPS State of the Public Service

SPVs Special Purpose Vehicles

StatsSA Statistics South Africa

TAU Technical Assistance Unit (National Treasury)

TBD To Be Decided

TWG Technical Working Group

UI Urban Institute

UK United Kingdom

UNCTAD United Nations Conference on Trade and Development

UNDESA United Nations Department of Economic and Social Affairs

UNHDP United Nations Human Development Report

UNESCO United Nations Educational, Scientific and Cultural Organisation

UN-Habitat United Nations Agency for Human Settlements

UNPAN United Nations Public Administration Network

USA United States of America

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USAID United States Agency for International Development

USNPMAC United States National Performance Management Advisory Commission

VFM Value for Money

VOC Dutch East India Company

Wesgro Western Cape Investment and Trade Promotion Agency

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CHAPTER 1

GREAT EXPECTATIONS FOR RESULTS-BASED DEVELOPMENTAL PUBLIC GOVERNANCE IN SOUTH AFRICA

1.1 DEVELOPMENTAL GOVERNANCE: VISION OR VACUUM?

“One of the major challenges that have faced the African state since the advent of political independence in the 1960s has been that of establishing and sustaining viable, dependable governance systems and institutions”, declared Francis Nguendi Ikome, Director of the Multilateral Programme at the South African Institute for Global Dialogue (DBSA 2009:5). He highlighted the fundamental problem context for this thesis, namely that “the need for the promotion of good governance has been an important focus in development discourse and efforts which have been promoted over the years, by Africans themselves and by the international community”(DBSA 2009:5).

The hopes, fears and potential hazards of South Africa’s negotiated revolution were aptly reflected by Slabbert and Welsh (1979:170) as follows: “A democratic South Africa; is it possible? ... it would not only be one of the major feats of political engineering in the modern world, it would also stand as a beacon to numerous other societies that are wracked by racial and ethnic conflict. Is this not a challenge worth accepting?”

A number of feasibility studies of non-racial governance modalities followed, with evocative titles such as Government by the People? (Heymans & Tötemeyer 1988), Negotiating South Africa’s Future (Giliomee & Schlemmer 1989), The Heart of the Nation: Regional and Community Government in the New South Africa (Kendall 1991); The Purple Shall Govern (Smuts & Westcott 1991); and Tomorrow is Another Country (Sparks 1994). The author’s public governance experiences over the past three decades have been as municipal councillor, Western Cape chairperson of the Democratic Party, active participant in the 1989 Five Freedoms Forum exploratory constitutional debates with exiled African National Congress leadership in Lusaka (Louw 1989); chair-

person of provincial and municipal government audit committees; and professional consultant in public governance programme evaluation and change management facilitation throughout Southern Africa. These experiences resulted in an acute awareness of the fitful progress towards demonstrable achievement of the envisaged democratic dividends which infused the vision and values of the new South Africa’s Constitution (RSA 1996a). From these professional perspectives, complemented by cross-national research and scholarly discourse, the problematic South African public governance terrain and trajectory is reviewed, critically analysed and formatively evaluated. The evaluation goal is that of identifying significant changes in socio-economic development through results-based democratic governance and cost-effective public management of limited resources in the initial decades of post-apartheid South Africa.

The new South African nation-state has evolved through a complex series of governance, institutional and managerial transformation processes since the advent of constitutional democracy in April 1994. These include “political, organisational, social, economic, demographic, psychographic and ontological transitions in the process of building representative democracy” (Murray & Nijzink 2002). During the first years of the 21st Century, the Southern African sub-continent became the most urbanised on the African continent, with 58,7 percent of its people living in various city-regions. “The population of South Africa, now 61,7 percent urbanised, is projected to reach 66 percent urbanisation by 2025” (UN-Habitat 2010a). The rapid urbanisation of rural- based residents (citizens, as well as immigrants from elsewhere in Africa) who are no longer subject to former urban influx control constraints and are seeking enhanced lifestyle opportunities in South Africa’s city-regions, lead to potentially ineffective results-based public governance and inequitable management of socio-economic development processes.

These transformative agendas and significant societal pressures have contributed to the radical redefinition of South African urban developmental priorities. They required responsive, results-based public governance and management competences to meet the great expectations of rapid and equitable socio- economic development and service provision, in what Correa and Fett (2008)

described as the “urban morphology”. Functional city-regions have in some countries grown to the extent that they have taken on a definite political or economic role, at times even transcending the identity of national states.

A key component of the problem statement of this thesis is that much of the urban studies literature is silent about the socio-economic, physical and environmental foundations on which urbanisation governance processes are based, in order to optimise the social capital and amenities of modern urban life. These complex processes include the management of effective public service provision such as human settlements, transport, food security, health, social and economic opportunities. Notable exceptions in recent urbanism literature included a paper by Mallach (2010) in the Brookings Institution Metropolitan Policy Program series which examined urban decay in America’s cities. Mallach found that “US federal initiatives had lacked coherent governance strategy and effective management” (2010:3). The other was a review of social capital and public service performance by Andrews (2011), which highlighted the importance of “co-productive capacity between communities and government agencies in the urban environment” (2011:7).

Looking ahead to the technology-enabled city, The Climate Group (2011) argued that as “(h)ome to more than half of the world’s population, cities… must think smart to deal with the growing pressures of urbanisation. Cities are economic drivers and places of opportunity, but they also face unprecedented social and environmental challenges, as more people migrate to cities and demand ever higher standards of living” (2011:7).

1.1.1 Urban developmental debates and drivers The heritage, current reality and developmental indicators of urban in-migration, socio-economic inequality, unemployment rates, access to education, demand for housing and social services, were the subjects of in-depth debate at the joint Organisation for Economic Co-operation and Development and European Union High-Level Conference on Inequalities in Emerging Economies, held in Paris in May 2010 (OECD 2010a). These and related indicators are analysed in the post-1994 South African national and city-regional governance context, with specific reference to the multi-cultural, poly-nodal and rapidly expanding Cape Town City-region.

Centuries of colonial paternalism and minority rule, followed in the latter half of the 20th Century by legislated socio-economic and geographic segregation of racial groups into separate group areas, local authorities and tribal independent homelands, had shaped the polity and character of South African public governance until the transitional non-racial elections in April 1994. Several decades of liberation struggle resistance and protest, ultimately leading to violence, sabotage and international economic and diplomatic pressure on the white minority regime had culminated in the release of leaders of formerly banned political organisations. Thereafter, negotiations towards universal adult suffrage in one country led to a sufficient consensus Interim Constitution in 1993; and to a relatively peaceful general election for racially inclusive national and provincial legislatures.

Describing the vision which had inspired the liberation struggle expectations and key elements of the Interim Constitution, former political prisoner, African National Congress leader and Nobel Peace Laureate Nelson Mandela spoke of the hoped-for fruits of democratic development, in his Nobel Peace Prize acceptance lecture: “The value of our shared reward must be measured by the joyful peace which will triumph, because the common humanity that bonds both black and white into one human race will have said to each of us that we shall all live like the children of paradise. Thus shall we live, because we will have created a society which recognises that all people are born equal, with each entitled in equal measure to life, liberty, prosperity, human rights and good governance” (Mandela 1993).

In the same vein: “It is the product of negotiation and compromise. Yet the central tenets of a democratic, just and equitable society remain uncompromised…the provisions of this Constitution are sound. The expectations of our nation are great”, declared Cyril Ramaphosa, Chairperson of the Constitutional Assembly, in addressing the historic joint sitting of Parlia- ment on 8 May 1996 during which the new South African Constitution (RSA 1996a) was approved (Nicol 1997:80). Within these great expectations of socio-economic justice, equity and development, one is very conscious of the caveats expressed by Pillay (2004) that “the effect of corruption in South Africa has seriously constrained the development of the national economy and has

significantly inhibited good governance in the country … which has adversely affected stability and trust” (2004: 587).

1.1.2 Motivation for thesis problem statement

A significant motivation for this thesis’ problem statement, therefore, is that the vision, values and principles of the new Constitution (RSA 1996a), adopted by the Constitutional Assembly of Parliament and endorsed by the Constitutional Court, have been compromised by the complex processes of redefining the South African democratic state and re-aligning its public governance and management practices as the vehicles for achieving equitable developmental results, exacerbated by caveats of political greed, systemic corruption and abuse of state power. In the South African results-based developmental governance context, such caveats have been reinforced by persistent public pronouncements in recent years, which have generated increasing perceptions that this is a major problem. These pronouncements included rumours, reports and allegations in the popular media and in personal interactions, as well as recognition in public documents of apparent governance tardiness and management inefficiency, backlogs in basic services, dysfunctionality in decision-making, lack of accountability and rampant corruption amongst politicians and officials. A high profile case in point was the emergence in 2001 of controversial arms deal corruption allegations. Examples of cumulative concerns expressed in public pronouncements and personal comments which stimulated the problem statement for the present study, include:

• “The South African Public Service is not yet fully demonstrating the principles set out in the new Constitution” (DPSA-PRC: 1998a); • “The curse of common competencies, in the new SA Constitution” (Steytler 2003: 7); • “It is often lamented that South African cities are beset by interminable crisis: segregation, inequality, fragmentation, violence, the AIDS pandemic and so on” (Pieterse 2006:286); • “At the heart of redress is the reduction of poverty and equality; how well we have done is still open to debate” (Hirsch 2006); and • “Democracy’s gains are eroding fast: we have the potential makings of a police state that is no different from that under apartheid” (Asmal 2008). 5

1.1.3 Developmental dilemmas and disjunctures?

The formative evaluation approach adopted in the present study seeks to respond to such perceptions, pronouncements and allegations, by investigating, collating and analysing available evidence regarding the public governance processes and outcomes of “most significant change” (Davies & Dart 2005). This has been undertaken in order to assess how effectively the democratic expectations and results-based governance strategies for equitable urban socio-economic development have been translated through competent and motivated public management into functional reality in the foundational years of the new South Africa. The focus was national and on the rapidly urbanising, heterogeneous Cape Town City-region, to determine whether and how results- based public governance outcomes might be enhanced. This was done by developing a new original model for South African results-based public governance effectiveness in the context of the 1996 Constitutional vision, values, principles and institutions.

De Visser (2005) pointed out that there had for many years been a widely-held view in the Third World that developmental objectives were best achieved through a strong central government; but that there had been a shift in socio- economic development orientation, towards decentralised governance in the decade prior to 1994. He asserted that “the 1996 South African Constitution chooses unequivocally to make local government the epicentre of development, and provides it with a strong institutional status” (2005:1); underscoring the problem of how best to institutionalise and capacitate sub-national public governance, in order to manage and promote sustainable development efficiently and cost-effectively.

Reviewing the South African post-1994 democratisation and developmental public governance progress, risks and opportunities, the Institute for Justice and Reconciliation (IJR 2008) highlighted in its annual Transformation Audit that the ability to embrace change at points of historical disjuncture, and to turn the risks associated with such change into opportunities for widespread gain, separates functional societies from the rest. South Africa reached such a turning point in 1994, seizing the opportunity to embrace democracy and to begin a comprehensive process of socio-economic transformation and development: “However,

with the gains of democracy also came massive expectations and, 15 years later, some disappointments. Despite democracy, peace in communities remains brittle. Despite economic gains, racialised inequality lingers. Despite transformation programmes, institutions continue to suffer from a lack of popular legitimacy. Despite ambitious government policies, the poor continue to suffer from patchy service delivery. Despite having turned the risk of civil war into the opportunity of democracy, we still have a long way to go in realising a just society at peace with all its citizens, whether rich or poor, indigenous or foreign, black or white” (IJR 2008: ix).

In assessing the socio-economic developmental successes and shortcomings experienced in the new South Africa since 1994, economist Iraj Abedian (2008) commented in the IJR Transformation Audit 2008 that the period since 1994 had witnessed a remarkable transformation in the fortunes of South Africa: “Over the past decade, a great deal of policy and institutional modernisation has been introduced. With growing integration into the global economy, the country’s corporate governance framework, institutional oversight, and competition policy have been tested and found to be internationally competitive” (Abedian 2008: 5).

Despite these achievements, however, his significant finding was that the post- 1994 South African nation-state had faced several governance inadequacies and outright failures. Some key structural and skills shortcomings have remained obdurate, unresolved and potentially a risk to the acknowledged socio-economic achievements. Arguably, the forefront of national failures has been in the field of basic education, vocational skills training, public management skills development and performance improvement. Abedian shared this concern that the single most obstinate factor hindering economic growth and social welfare has been the prevailing inadequacy of South Africa’s education and training system. He argued that “the modernisation, urbanisation and technological upgrading of the South African economy during the past decade has increased the economy’s skills intensity sharply; and has thus accentuated the systemic unemployment problem. Meanwhile, human capital accumulation has proved wanting.” (Abedian 2008: 6).

To focus this thesis’ core problem statement of the apparent disjuncture between the great expectations and evidence of democratic achievements in results-based public governance for social justice, equity and sustainable socio- economic development in the new South Africa, it is necessary to define the dimensions of public governance.

1.2 PUBLIC GOVERNANCE: POLITY, PROCESSES AND PRAXIS

“Good governance is a precious commodity in the nation-states of the developing world” is the opening statement of the World Peace Foundation Report 39 on The Good Governance Problem (Rotberg & West 2004:1). According to the United Nations Economic and Social Council (UNESCO) Committee of Experts on Public Administration paper Strengthening governance and public administration capacities for development (UNESCO, 2008), effective public governance is understood as a transformative process, reflecting the shift from the former focus on a narrow political framework of the elite, to a broader democratic concept, including new social movements. In similar vein, Oluwu and Sako (2002) offered an inclusive developmental definition of public governance as “a system of values, policies and institutions by which a society manages its economic, political and social affairs through interaction within and among the state, civil society and private sector” (2002:37).

Governance, therefore, means much more than government, as Cloete and Rabie (2005) pointed out, while Fakir argued that “leadership and trust are central to democratic and participatory governance, where governance is understood as a function and product of politics” (2009:11). Hyden and Braton (1993:7) suggested that “four key criteria should be used to assess the quality and sustainability of public governance in a society, namely:

• the degree of public trust in government;

• the degree of responsiveness in the relationship between government and civil society;

• the government’s degree of democratic accountability to voters; and

• the nature of the authority that the government exercises over society.”

Within these four criteria, good public governance may be conceptualised as “the achievement by a democratic government of the most appropriate developmental policy objectives, to develop its society sustainably” (Cloete 2001:1). This is typically achieved by “mobilising, applying and managing all available resources in the public, private and voluntary sectors, domestically and internationally, in the most efficient, effective and democratic way. This definition contains both normative and utilitarian elements” (Cloete 2003). Similarly, the Washington DC–based Brookings Institution publication entitled Worldwide Governance Indicators (Kaufmann, Kraay & Mastruzzi 2010) summarised a study of governance indicators in 213 countries and territories since 1996, measuring six dimensions of public governance, namely: “Voice and Account- ability, Political Stability and absence of Violence, Government Effectiveness, Regulatory Quality, Rule of Law; and Control of Corruption” (2010:2). By organising and summarising the disparate international norms and data on these key components of public governance, the authors (based at the World Bank and the Brookings Institution), sought to make meaningful cross-national and over-time comparisons on shared understanding of public governance principles and methodology (2010: 2).

1.2.1 Public governance goals for reconstruction & redress?

It is an open question whether these developmental public governance criteria are valid and viable to achieve the goals of reconstruction and redress in post- apartheid South Africa. Reflecting on the concept and implementation of democratic public governance and development in the Global South, just a year before the first non-racial South African elections were to be held, former National Union of South African Students leader Adrian Leftwich (1993) declared that “a new orthodoxy dominates official Western aid policy and development thinking. At its core is the confident assertion that good governance and democracy are not merely desirable, but essential conditions for development in all societies”. Leftwich cautioned, however, that if eliminating the continuing offence of poverty and misery is the real target, then “unlimited liberal democracy and unrestrained economic liberty may be the last things the developing world needs, as it whirls towards the 21st Century” (1993: 605, 621).

In an emergent nation-state such as South Africa, the notion of broad-based sustainable development is closely aligned with effective public governance, competent public management and technical skills. Weaver, Rock and Kusterer (1997) declared that “the overriding goal of developmental governance is to improve human well-being and to enable human beings to achieve their potential” (1997:13). Tracing the evolution of developmental public governance goals, they pointed out that “broad-based sustainable development is now multidimensional, recognised as having four distinct key result areas: (i) a healthy, growing economy; (ii) socio-economic systems in which the benefits are widely distributed; (iii) a political system that provides for human rights and freedoms, with effective governance; and (iv) a political economy that is consistent with preservation of the environment” (1997:14). This developmental perspective is a useful one to inform the critical analysis and formative evaluation of the economy, efficiency and effectiveness of results-based public governance within the South African nation-state, and specifically in the rapidly urbanising, ecologically heterogeneous and politically volatile Cape Town City-region.

The developmental governance complexities of the Cape Town City-region were the subject of a benchmark Territorial Study by the Organisation for Economic Co-operation and Development (OECD 2008a). The territory’s tenfold population growth over the past 50 years indicates its significance as the second-richest city-regional economy in South Africa, with the lowest urban unemployment rate; yet probably containing the highest inequalities of income, health, education and housing in the country (OECD 2008b:13).

Public governance and administration in the early 21st century finds itself in an era of New Public Management or governance by performance management, which is reflected in the widespread assumption that effective hands-on management is the key determinant of public sector outcomes, rather than deregu- lation and public policy innovation (Lapsley 2009). Another tenet is that it is reasonable to expect efficient public managers to improve organisational effectiveness (Moynihan & Pandey 2005). There is a growing literature which seeks to assess how external influences and internal technology, structure, ethics, performance culture, risk mitigation and management factors combine to underpin effective results-based public governance (Behn 2001; ICMA 2008b;

ISPI 2010). The core characteristics of governance by performance management will be analysed in this thesis, within a framework of cross-national exemplary policies and practices; and their effective implementation will be formatively evaluated within the national constitutional and regulatory framework and multi-cultural dynamics of the Cape Town City-region. Formative evaluation entails “collecting data for a specific period of time usually during the start-up or pilot phase of a project, to improve implementation, solve unantici- pated problems and make sure that participants are progressing toward desired outcomes” (Patton 1997: 69).

In undertaking this analysis in the South African constitutional context of co-operative government among three interdependent spheres (national, provincial and local), cognisance will be taken of Purcell’s (2006) caveat that it is essential to avoid the local trap, in which the local scale is assumed to be more democratic and manageable than other scales. Huxham’s (2000:93) finding regarding the complex challenges of collaborative governance between public sector tiers, departments or agencies must also be noted: “(R)esearch does demonstrate that it is possible for public governance collaborators to make a difference to the outcome” (2000: 100). A key thesis question is whether the current South African government’s vision, values, policies, strategies and institutions are appropriate for this governance task.

1.3 SOUTH AFRICA’S CONSTITUTIONAL VISION AND VALUES

1.3.1 ‘Ready to Govern’ for ‘Reconstruction and Development’

With governance policies based largely on the Freedom Charter (ANC 2009), which was popularly endorsed by the Congress of the People campaign in 1955, the newly unbanned African National Congress (ANC) convened a National Conference in May 1992. This conference endorsed an election manifesto headlined Ready to Govern (ANC 1992), highlighting key elements of the liberation movement’s developmental governance vision. After the ANC election victory in 1994, that manifesto became the official national strategy of the new government as the Reconstruction and Development Programme (RSA 1994b), with the ”five broad themes of:

• Meeting basic needs;

• Building the economy;

• Democratising the state and society;

• Developing human resources ; and

• Nation-building”.

The South African multi-party constitutional negotiations which followed the unbanning of the liberation movements in 1990, evinced marked differences in developmental governance visions and democratic constitutional principles and stimulated vigorous - sometimes acrimonious - public debates about shared national vision and values, priority outcomes and the roles of organs of state in national, provincial and local spheres. Academic and economist Sampie Terreblanche reflected as follows in the Human Sciences Research Council’s 2008 State of the Nation publication on the political economy at the time of liberation: “The South African economy was not only in a state of depression, but – as correctly identified by the Reconstruction and Development Programme (RDP) – it was in a deep-seated structural crisis after decades of segregation and apartheid oppression, with the poorer segment of the population (almost exclusively black) living in relative poverty and destitution” (Terreblanche 2008:107).

It was therefore necessary to bring about a fundamental restructuring of the political economy in such a way that its orientation could become pro-black and pro-poor: “(T)he argument in the RDP was that if the economy…inherited from the apartheid period was to remain fundamentally unrestructured, the ugly socio-economic remnants of apartheid would not be addressed, but would be perpetuated - or even augmented” (Terreblanche 2008:107).

1.3.2 Constitutional principles of the Republic of South Africa, 1996 Emerging from protracted and sometimes perilously poised negotiations, an Interim Constitution was adopted in 1993 by sufficient consensus amongst the major negotiating parties. The key principles included in the 1993 Interim Constitution were radically different from those of the previous constitution (RSA 1983), which sought to “further and protect the self-determination of population

groups and peoples” (1983:1). Ratified by the post-1994 election Constitutional Assembly, these developmental, democratic values were ultimately enshrined in the current Constitution (RSA 1996a). The constitutional principles and constraints relevant for co-operative results-based government, effective public management and development were crisply articulated in Chapter 10, section 195 of the Constitution (RSA 1996a:107). “These principles are: a. A high standard of professional ethics must be promoted and maintained. b. Efficient, economic and effective use of resources must be promoted. c. Public administration must be development-oriented. d. Services must be provided impartially, fairly, equitably and without bias. e. People's needs must be responded to, and the public must be encouraged to participate in policy-making. f. Public administration must be accountable. g. Transparency must be fostered by providing the public with timely, accessible and accurate information. h. Good human resource management and career development practices, to maximise human potential, must be cultivated. i. Public administration must be broadly representative of the South African people, with employment and personnel management practices based on ability, objectivity, fairness, and the need to redress the imbalances of the past, to achieve broad representation”.

Ways in which the results-based public governance functionality of these shared principles, separation of powers and core values for all three spheres of co-operative government, within the concurrent and exclusive competences defined in Schedules 4 and 5 of the Constitution (RSA 1996a:143,146) can be improved, are questioned, analysed and assessed in chapters 4, 7 and 8 of this thesis. The specific results-based public governance issues focussed on, are summarised below.

1.3.3 Research objectives for transformative urban development

Significant changes, in the context of this thesis’ formative evaluation, began with several White Paper policy documents, which underpin the national regulatory framework for the new South African public polity and developmental governance priorities; and also for the subsequent legislation which has at times plumbed the depth and breadth of results-based governance knowledge, skills and experience of a rapidly transformed public service management and staff in all three spheres of South African government. The new public governance foundations were laid with the Public Service Act, Proclamation 103 of 1994 (RSA 1994a); which created the statutory basis for reform towards integrated, coherent and representative institutions in the national and provincial spheres, potentially capable of achieving the progressive goals of democratic public governance in a developmental state: except that municipal government institutions and staff were not defined as part of the Public Service.

Policy directives and their effective implementation which have been critically analysed and formatively evaluated in this study in terms of results-based public governance context, coherence and purposive management competence, include the White Papers for Human Resource Management in the Public Service (RSA 1997a); Transforming Public Service Delivery: Batho Pele/People First (RSA 1997b); Affirmative Action in the Public Service (RSA 1998a); Municipal Local Government (RSA 1998b); and Public Service Training and Education (RSA 1998c), amongst others.

In 1999 the then Minister for Provincial and Local Government highlighted as follows the increasing trend of urban in-migration and therefore the rising demands for effective city-regional basic service provision in a foreword to a series of urban governance policy booklets entitled Local Government for the 21st Century: “In preparation for this final phase of the local government transition, an ambitious programme of reform has been embarked on. Although the Constitution provides the vision for this new system of developmental local governance, legal effect had to be given to this vision. The White Paper on Local Government, released in March 1998, has established the framework for the future local government system. The White Paper aims to establish a system of local governance in which municipalities play an increasingly

important role in service delivery, eradicating poverty and improving the social and economic condition of our people” (RSA 1999a: ii).

The Minister’s foreword recognised the significance of urban developmental governance in managing the rapidly increasing urbanisation of South Africans, indicating that legislation would create new processes and institutions with principles and mechanisms which would equip municipal governance and socio- economic development to address the challenges of urbanisation: “an empowered community, working in partnership with their municipality to improve performance and facilitate development is the single most powerful force for change, to build a better future and make the vision of developmental local government a reality” (RSA 1999a: ii).

In the same year, the then Minister for Provincial Affairs and Constitutional Development published a thought-provoking article entitled Blueprint for the Business of running Efficient Cities in a major national newspaper. He stated that devolution of urban governance powers and functions “will lead to a richer and more comprehensive package of functions at municipal level…..made possible by a separation of the notion of a service provider from the authority (the municipality), which must ensure that the services are up to standard.” (Moosa 1999). These planned changes, the minister noted, would need a more flexible, skilled municipal labour force; and a small, professional core, skilled at contract management, performance management and project supervision.

Consistent with international research by the Brookings Institution (Katz 2010) and recognition of the growing importance of major metropolitan areas and global cities in creating wealth and sustaining socio-economic development, there is an emerging theoretical understanding of pluricentric co-ordination in public governance, which resonates with the notion of co-operative government in South Africa - especially in the city-regional context. Turok and Parnell (2009) highlighted that the challenges of rapid urbanisation in large parts of the developing world were beyond the typical capacity of municipal government to manage alone; and they explored the arguments for a national urban policy, reflecting the “unique power of the central state and the special circumstances of city-regions in Africa” (2009:5). Experience in South Africa, they pointed out, illustrated the difficulties of agreeing a systematic approach to urban growth and

governance transformation. As a response to the indicators of slow developmental progress and ineffective resource utilisation, potentially significant changes in public management and governance tools and regulatory systems were subsequently introduced for use across all three spheres of government. These are analysed below in the Cape Town City-regional context, which Swilling (2010b: 5,6) described as “an unsustainable mess” with a “remarkably rapid rate of urban change”.

The significance of effective results-based urban developmental governance in South Africa was highlighted by the State of Cities Report Towards Resilient Cities (SA Cities Network 2011a: 3), which recognised that “successful cities are an integral part of the solution to the country’s economic, social and environmental challenges”. Ten years after the creation of metropolitan jurisdictions in order to integrate communities divided by apartheid planning, distribute municipal resources more equitably and provide economies of scale in service delivery, this 2011 State of Cities Report frankly assessed metropolitan achievements and opportunities. The SA Cities Network assessment was based on five urban resilience perspectives: economic, spatial, environmental, governmental and financial. Ironically, however, the Report did not diagnose the strategic functional city-regional perspective, which this thesis addresses.

1.3.4 Presidential Progress Reviews Insightful public governance and management progress assessments entitled Towards a Ten Year Review (RSA 2003) and Towards a Fifteen Year Review (RSA 2008a) have been collated by the Policy Co-ordination and Advisory Services (PCAS) in the South African Presidency. Comparative assessments were made with the objectives of the Reconstruction and Development Programme (RSA 1994b) and other successive strategies and statutes in mind. Both these Presidential reviews provided a frank analysis of progress made towards national public governance objectives in the three interdependent spheres of South African co-operative government. Policy recommendations and progress indicators to enhance results-based governance and skills development with more effective public management were distilled, in order to monitor socio-economic growth and development achievements. Reflecting on the need for more public sector capacity to overcome persistent systemic

challenges, the authors of the Presidency Fifteen Year Review commented that identified governance deficiencies arose “not fundamentally from a shortage of people, but from problems of skills and systems to deploy human and financial resources, particularly in the local government sphere”, where “capacity challenges relating mainly to skills, systems, co-ordination and institutional arrangements” were frequently evident (RSA 2008a: 17).

These Presidential Review findings and revised provincial and local governance policy recommendations are considered in this thesis, leading to an assessment of the Medium Term Strategic Framework 2009-2014 (RSA 2009d) which was subsequently adopted by the incoming Zuma Presidency.

The specific focus of this thesis is on the co-operative government challenges and imperatives of planning and managing rapid, heterogeneous urbanisation and sustainable socio-economic urban development in the Cape Town City- region. As described in the Organisation for Economic Development’s comprehensive Territorial Review of the Cape Town City-region (OECD 2008a), expectations of community engagement and equitable service delivery in this second most populous city-region in South Africa have been detrimentally affected in the Western Cape province by political volatility, despite a relatively stable provincial public service which did not have the need to integrate former independent homeland institutions: an additional transformation hurdle in most other provinces.

The OECD Territorial Review of the developmental governance challenges in the Cape Town City-region was commissioned by the Premier of the Western Cape province as a “legacy project” (Rasool 2008). The OECD Territorial Review provided a definitive baseline for this thesis, facilitating reflection on and formative evaluation of the most significant changes in policy-making and results-based city-regional co-operative government, within the constitutional complexities and sometimes convoluted city-regional political dynamics.

1.3.5 Constitutional complexities of public governance in South Africa The quasi-federal nature of the South African Constitution was based on a series of negotiated ideological compromises, reflecting the complex demographics and socio-political profiles of the country’s provinces, redemarcated in 1994 for developmental sub-national government. 17

The unique demographic features of the Western Cape province were highlighted in the Human Science Research Council report The State of the Population in the Western Cape Province (Marindo, Groenewald & Gaisie 2008). The HSRC report used official data sources such as Statistics South Africa with social, cultural, language and climatic profiles supplied by the Department of Social Development (DSD) of the Provincial Government: Western Cape. Policy and capacity differentials between the Cape Town and adjacent municipalities, provincial jurisdictions and national government departments were assessed, where they have a significant bearing on socio- economic developmental change outcomes or results-based public governance and performance improvement. Equally illuminating (though less formal) insights into local community governance dynamics in post-apartheid Cape Town were provided by Monaco (2007 & 2008).

In analysing and evaluating the outcomes of South African public governance since 1994, particularly in the first decade of the 21st Century, the incisive critique offered by a leading South African academic and former World Bank executive remains pertinent. In Laying Ghosts to Rest: Dilemmas of the Transformation in South Africa, Mamphela Ramphele (2008) commented critically on public service delivery and human resource development. She argued that “the unintended consequences of policies aimed at redressing the past injustices of racism have been wreaking havoc in South African society”; and maintained that “the capacity to deliver public services to poor communities with no other recourse has been sorely lacking in most instances” (2008:12).

Freedom for poor communities, from Ramphele’s perspective, means access to quality education, health care and decent housing: “First, a transformed South Africa should be a country that is both more equitable and more prosperous, with the benefits of prosperity shared by all, as envisaged by our national constitution. Second, the process of transformation has to proceed within the realms of possibility. One cannot immediately have the desired equity in the high-skills employment arena when South Africa in the past has not invested in the development of high skills among all sectors of the population” (Ramphele 2008: 87).

She warned that authoritarianism also frames government-citizen relationships and that South African political culture is often characterised by the view that government must lead and the people must follow, rather than that of government serving the public within an agreed strategic framework. She concluded that the enormity of the governance transformation changes required at the political and socio-economic levels “has in some cases led to impatience with consultative processes that are seen as delaying urgently needed urban development” (2008: 116). These results-based governance concerns have been shared by several leading South Africans, in the launch in Cape Town of the Citizen Movement for Social Change (CMfSC), a civic response to what Ndebele (2011) describes as a mounting crisis of civic apathy and failings of democratic mobilisation.

1.4 PROBLEM STATEMENT, RESEARCH GOALS AND QUESTIONS

1.4.1 Problem statement

Given the complexity and scale of the post-apartheid South African democratic transformation and developmental co-operative government challenges; and the high expectations of rapid change towards fulfilment of election promises of equity, employment and a better life for all, the problem statement for this thesis is that the available evidence of progress in the post-1994 public governance system implementation and outcomes, nationally and in the Cape Town City- region, is frequently negative, yet substantially inconclusive in terms of the achievement of sustainable urban reconstruction and development. It is therefore imperative to evaluate purposive public governance progress, to analyse root causes and to recommend principled, pragmatic steps towards realisation of the Constitutional tenets of accountability, responsiveness and openness (RSA 1996a: chapter 1).

In traversing the South African public governance terrain during the past three decades, it has become apparent that there is often a science-practice gap in public organisational management behaviour and human performance improvement principles. Short, Keefer and Stone (2009), for example, expressed concern that “there is a deficiency in empirically-based literature on the relation-

ship between theory and practice in Human Resource Development (HRD), with practitioners hindered by factors including the lack of a robust body of scholarly knowledge of what works and why, which can be used to inform HRD policy and practice” (2009:3). In order to fill this gap, several issues of the journal Advances in Developing Human Resources (Bing 2009:2) were devoted to HRD perspectives which “fostered collaboration and partnership between scholarship and practice, in order to make this knowledge accessible”.

A definition of evidence-based practice in Human Resource Development was suggested by Robert Hamlin (2002: 97-98): “Evidence-based HRD is the conscientious, explicit and judicious use of current best evidence in making decisions about the skills development of individuals, groups and organisations, integrating individual HRD practitioner expertise with the best available external evidence derived from systematic research”. Pursuing this goal of the Scholar- Practitioner Special Interest Group within the Academy of Human Resource Development (AHRD), Hamlin also highlighted the need for interactive dialogue in the field of HRD, promoting evidence-based practice in organisational performance evaluation and improvement (Hamlin 2007).

1.4.2 Research goals

An implicit goal of the thesis, therefore, is to contribute to the closing of the science-practice gap in results-based public governance in the South African developmental state, exemplified in the heterogeneous Cape Town City-region. In reviewing the vision and values of the national Constitution (RSA 1996a), the goals of the Reconstruction and Development Programme (RSA 1994b), the extensive range of governance policies and management strategies produced in the first decades of non-racial democracy; and the frank assessments in Towards a Fifteen Year Review (RSA 2008a), it is intended to analyse and evaluate national and Cape Town City-regional results-based public governance and performance competence in South Africa. In doing so, the explicit thesis goal, however, is to identify significant results-based developmental governance enablers and inhibitors, within a theoretical framework formulated to address the following two interlinked research questions:

1.4.3 Research questions

Evaluated within such a public performance model, how effective have South African results-based public governance policies, regulatory frameworks, organisational and performance improvement strategies been in achieving socio-economic developmental goals within the co-operative government constitutional context, as evidenced in the heterogeneous, rapidly urbanising Cape Town City-region?

The first research question is the primary focus of Chapter 2, leading to the design of an original public performance model which is applied in subsequent chapters across the three spheres of South African co-operative government, in order to respond purposively to the second research question. In so doing, the thesis seeks to assess to what extent the developmental public governance principles and practices have promoted significant change consensus towards realisation of the Constitutional vision and values, nationally and within the Cape Town City-region; and to identify relevant needs and initiatives for enhanced governance implementation and sustainable development outcomes.

1.5 RESEARCH METHODOLOGY

Theory development is a high priority in complex qualitative institutional and managerial research. As Clarke (2005), Edwards (2010) and McGinnis (2011) argued, ongoing refinement of concepts, theories and empirical findings in the field is necessary to increase precision and to identify networks and boundaries, so that description yields clear situational analysis. Criteria for qualitative and interpretative inquiry in the social sciences have been the subject of dialogue for some years, as Lincoln (1995) pointed out. The dialogic interview approach of reflective conversations has been effectively used by organisational develop-

ment and social science investigators (Holstein & Gubrium 1995: 7) as a “window on the world for gaining insights into social perceptions of reality”.

The mixed methods (Bamberger, Rao & Woolcock 2010), action research approach (Bjorn & Boulus 2011; Caulley 2008) used in developing this thesis has been purposively varied, seeking optimal credibility in reviewing and analysing the social epistemologies of results-based public governance, organisational behaviour and most significant changes in public policy perceptions in the South African nation-state, particularly in the heterogeneous Cape Town City-region. Action research strategies and dialogic interview methodology with a purposive range of stakeholders have been informed by Sayer (1992), Patton (1997, 2002), Fetterman (2001), Davies and Dart (2005); Darlow (2007), Rogers (2009); Daley et al. (2010); Oakerson and Parks (2011) and Bjorn and Boulus (2011).

Both deductive and inductive methodologies have been applied to mapping key concepts and noting varied public governance observations, seeking to identify themes of results-based governance and performance improvement. The formative evidence is based on a purposive range of cross-national exemplary practices, professional journals, dialogic and structured interviews with public governance thought-leaders, practitioners and community activists.

Qualitative studies and formative change evaluation evidence are intended to develop theories and to “discover the unexpected”, often through what was described by Maurer and Githens (2010: 268) as “dialogic and critical action research”. The primary goals of this methodology are to create conceptual understanding, mutual learning, in and through critical engagement: especially in the disciplines of public governance, community activism, organisational leadership and management development.

In using this objective hermeneutics approach, attempts have been made in this thesis to “explore and interpret the substance and specific characteristics of social reality and order” (Mann & Schweiger 2009: 446), and to add to know- edge economy creation, within complex responsive processes in public organisations (Stacey 2001). Building largely from cross-national public governance case studies and interactive evidence-gathering, the process goals of this thesis are to map and analyse results-based governance phenomena and to draw 22

organisational and community leadership lessons which do not always emerge from conventional technical analysis. This is especially so in the emerging field of urbanisation studies, applied to the South African city-regional developmental governance context; in which the focus, as Hubbard (2006: 9) observed, is on “the empirical nuances of city life”.

Following Friedman and Rogers (2008), who argued that “There is Nothing so Theoretical as Good Action Research”, a key process goal of this results-based public governance study has been to provide an accessible and useful developmental public governance performance model framework for practitioners, academics, political and community activists, in structured action research.

When the opportunity arises, however, this study strives to make ample reference to the policies, practices and programmes of international professional institutions, inter alia:

• International City/County Management Association (ICMA);

• American Society for Public Administration (ASPA);

• Public Performance Measurement and Reporting Network (PPMRN, based at Rutgers University School of Public Affairs and Administration, New Jersey);

• International Society for Performance Improvement (ISPI);

• European Group for Organisational Studies (EGOS); European Evaluation Society (EES); and

• American Society for Training and Development (ASTD).

The thesis also considers critical analyses of inputs from commissioned papers of international public governance and development agencies, such as:

• United Nations Public Administration Network (UNPAN);

• World Bank Operations Evaluation Department (OED);

• One World Trust (OWT);

• Organisation for Economic Co-operation and Development (OECD);

• the Washington DC-based Brookings Institution and Urban Institute;

• European Commission (EC);

• South African Cities Network (SACN); as well as

• Provincial and municipal legislatures, government departments, constitutional oversight bodies including the Public Service Commission (PSC), Auditor-General of South Africa (AGSA) and non-governmental organisations (NGOs), where such inputs add pragmatic relevance or potential scholarly value.

In addressing the core thesis problem of apparently unsustainable results- based developmental public governance and potentially ineffectual public management in post-1994 urbanising South Africa, systemic analysis of developmental data and governance processes has been largely based on the insights of the Territorial Review of the Cape Town City-region (OECD 2008a), Towards a Fifteen Year Review (RSA 2008a) findings; Strengthening African Governance Index (Rotberg & Gisselquist 2009) indicators and other purposively relevant sources. These data and insights have facilitated integration of the theoretical discourse of results-based public governance and organisational performance management principles into an original public performance model, for pragmatic application to the context of resource- effective socio-economic development in the Cape Town City-region.

1.5 STRUCTURE OF THIS STUDY

Chapter 1 Introduction: Definition of core problem statement, thesis scope and post-1994 Constitutional co-operative government and socio- economic developmental vision, values and potential inhibitors. Formulation of the two research questions, process goals and structure of the thesis and action research / mixed methodological approach, in order to address the defined problem statement and research questions relevantly and purposively.

Chapter 2 Scholarly theories and empirical studies in results-based organisational management and governance: evolution of significant models and praxis, for effective results-based leadership, management and accountability for results. A cross-national qualitative review of

exemplary results-based public governance themes, towards the development of an original public performance model for use in the contextual analysis, assessment and formative evaluation of South African developmental public governance policy, strategies and institutional management modalities.

Chapter 3 Dynamics of South African developmental public policy and urban governance, as an emerging constitutional democracy and a rapidly

urbanising African state: identification, explication and assessment of the multiple demands on effective results-based public governance and sustainable urban socio-economic developmental public management practices, since the advent of inclusive constitutional democracy.

Chapter 4 A critical analysis of post-1994 South African national public governance policies and strategies, regulatory frameworks, significant changes and effectiveness of practices for results-based development and institutional performance, formatively evaluated within the architecture of the original public performance model.

Chapter 5 Cross-national constructs of functional city-region typologies:

intergovernmental co-operation, collaboration and governance policies and practices; within complex city-regional manifestations,

motivations and management modalities. A purposive review of case studies, seminars, frameworks, foundations and functionality of city-regional public governance approaches in various contexts, as the basis for a formative evaluation of the Cape Town City-regional past, present and potential future governance.

Chapter 6 Contextual review of the Cape of Storms and socio-economic devel-

opmental assessment of the Cape Town City-region: Western Cape provincial powers and functions, metropolitan co-operative government demographics and dynamics; heterogeneous challenges to sustainable results-based public governance, as articulated in the Territorial Review (OECD 2008a) assessment and other contemporary sources.

Chapter 7 Analysis of results-based public governance strategies and evolving institutional policies and practices in the demographically and geo- politically heterogeneous Cape Town City-region: structured interview perceptions of opinion leaders in urban socio-economic development and metropolitan co-operative government initiatives, juxtaposing cost-efficient rigour and results-based management with inclusive democracy, development and constitutional values.

Chapter 8 Conclusions: key formative evaluation findings in the purposive application and enhancement of the S-A-F-R-I-C-A performance model; analysis of significant changes noted towards results-based public governance, competent developmental management and institutional performance improvement. National and City-regional governance insights, implications and recommendations for equitable development in South Africa and towards effective Cape of Good Hope City-regional governance.

1.7 CONCLUSION

The Republic of South Africa has evolved through a complex and continuing series of political, societal, cultural and institutional governance change processes, since the first racially inclusive general election in 1994 and the adoption of a fundamentally new national Constitution (RSA 1996a), based on pragmatic compromises and sufficient consensus between former political foes. This transition has evidenced successive social transformation and administrative reforms, initially guided by the goals of the Reconstruction and Develop- ment Programme (RSA 1994b) which underpinned wide-ranging social transformation and reform in developmental public governance policies, statutes, strategies, and practices. Despite considerable advances, however, “the overall results of developmental state policies for South African society provide a mixed picture and continue to place disproportionate socio-economic pressure on rapidly expanding urban areas, such as the Cape Town City-region” (OECD 2008a: 35).

There is a substantial literature (Bhorat & Kanbur 2006; Daniel, Naidoo, Pillay & Southall 2010) which has sought to reflect the nature of South Africa’s democratisation and developmental processes, significant public governance changes and outcomes, ranging from celebrations of a miracle, through to acerbic criticisms of an elite transition. The complexities of these change processes since 1994 have given rise to what has been described to the author by several public managers as transformation fatigue, because of the many processes of institutional integration, re-demarcation and consolidation which the three interdependent spheres of co-operative government have worked through. These complex processes have had limited impact to date on relative poverty levels, social cohesion, food security, sustainable socio-economic development and equitable service delivery in historically disadvantaged communities.

Urban governance realities, achievements and inhibitors within several major city-regions were benchmarked during the fifth session of the World Urban Forum in Rio de Janeiro in 2010, characterised by the UN-Habitat Executive Director’s closing address, in which she projected that “within two generations, seventy percent of humanity will be living in towns and cities” (UN-Habitat 2010b:1). For these cogent and compelling reasons, therefore, the results- based public governance principles, organisational management effectiveness and urban performance improvement policies and practices in the national and city-regional context are the focus of this study within post-1994 South Africa, evaluating progress towards the constitutional goal of becoming an equitable and effective developmental state.

To achieve a relevant analysis of sustainable urban developmental governance processes and outcomes and to draw valid significant change conclusions, the provincial and local governmental spheres in the diverse demographics and volatile cultures of the Cape Town City-region have been selected for particular analysis. This rapidly growing and heterogeneous city-region - the only region to increase its share of national economic output (OECD 2008a:13) - accounts for 8,3% of the South African population and 11,8% of the South African Gross Domestic Product (OECD 2008b: 50).

Attentive note has been taken of the findings highlighted by Al-Yahya, Lubatkin and Vengroff (2009) in a Dubai School of Government paper, regarding the

need to consider the impact of local cultural norms and inter-cultural boundaries, in such an evaluation process. While Mintzberg’s (1973) hypothesis argued that Western organisational management norms and behaviour theories are applicable worldwide, regardless of culture or historic experience of a society, the Dubai paper pointed out that “several analysts have discounted the applicability of Western public governance and management models to the contexts of developing nations such as those of Sub-Saharan Africa” (Hickson 1974; Leonard 1977; Hyden 1983; Montgomery 1985; Vengroff 1988; Lubatkin, Ndiaye & Vengroff 1997).

The role that national, regional and institutional culture plays in public governance and management practices to optimise results has become a significant discourse in recent decades, especially for scholars of New Public Management (Ewalt 2001). City-regional studies in the developing world, for example, began with the emergence of the informal sector as a subset of urbanisation theory in the early 1970s, but typologies in Latin America, the Middle East and South Asia have recognised the varied and complex historical, socio-political and economic factors of informal urban development (AlSayyad 2004). These approaches are considered in analysing the results-based public governance and effective management of multi-cultural urbanisation in the heterogeneous Cape Town City-region.

In order to analyse insights and draw conclusions from the Cape Town City- regional public governance experiences and performance improvement aspirations, it is necessary to contextualise them within national, provincial and local developmental strategies and within the socio-economic challenges of rapid urbanisation. Pieterse (2009a:2), former strategic adviser to the Western Cape Premier, noted that “African metropolitan areas currently have the fastest rate of urbanisation in the Southern hemisphere”.

Recent international research into concepts, principles and practices in the fields of results-based public governance and performance improvement in public service delivery systems has been considerable in scholarly and practitioner circles. This includes Cloete’s (2000) insightful study, which analysed and assessed the capacity of selected developing states to maximise and

maintain public service standards in their territories; and formulated an holistic model of strategic public governance.

Note has also been taken of the governance caveats expressed by Scott (1999), who cited several 20th Century state master plans and schemes which have “inadvertently brought death and disruption to millions of citizens in a prostrate civil society” (1999: 3). Scott analysed cases of large-scale centralised authoritarian performance improvement plans in various developing countries; such as compulsory ujamaa settlements in Tanzania, collectivisation in Soviet Russia and the Great Leap Forward in China; building a persuasive case against high-modernist development theory and central state planning which disregards the objections and motivations of citizens and communities.

The action research questions framed for enquiry and assessment in this thesis have stimulated critical reflection, scholarly and practitioner discussion, comparative analysis and contextual synthesis, within the architecture of an original public performance model which is formulated from cross-national exemplary themes in chapter 2. In researching, designing and assessing the pragmatic value of this public performance model, literature reviews were supplemented and enriched by purposive conference participation and interactive dialogic interviews with public governance and urban studies scholars, public sector managers, political leaders, community activists and thought- leading practitioners from a diverse range of institutions and agencies in the global North and South.

Empirical research findings from a well-informed range of significant results- based public governance and organisational performance improvement theories are complemented by the author’s professional interactions, performance evaluation and independent audit committee findings in national, provincial and city-regional governance. In chapters 6, 7 and 8 these insights and practices are compared, contrasted and formatively evaluated for purposive application within the constitutional principles and results-based developmental contexts of national and Cape Town City-regional co-operative government reality.

CHAPTER 2

CURRENT STATE OF KNOWLEDGE ABOUT ORGANISATIONAL MANAGEMENT AND RESULTS-BASED PUBLIC GOVERNANCE

2.1 INTRODUCTION: EVOLUTION OF MODERN MANAGEMENT THEORY AND RESULTS-BASED PUBLIC GOVERNANCE PRACTICES

In this foundational chapter, core literature on effective management, organisational and individual performance improvement and results-based public governance is qualitatively reviewed and assessed, seeking to define potential lenses for analysing and evaluating the South African results-based governance context in later chapters. Cross-national public governance literature, research studies and practitioner interviews assessing exemplary results-based public governance principles and practices are synthesised and categorised, with the aim of developing an original public performance model which facilitates critical analysis and formative evaluation of South African results-based public governance policies, practices and outcomes. The multi-disciplinary studies, theories, principles and practices assessed are drawn from scholarly journals and from a range of institutions in the fields of organisational management, performance improvement and public governance. They comprise alternative, competing or complementary perspectives in seeking to assess to what extent desired results are achieved within organisations.

By the mid-20th Century, the role and status of organisational management had attained what may prove to be the peak of its prestige, to the extent that a leading writer and commentator could claim that “management is a distinct and leading group in society… and it will remain a basic and dominant institution, perhaps as long as Western Civilization itself survives” (Drucker 1955: 1).

2.2 RESULTS-BASED MANAGEMENT THEORIES

For many decades since the Industrial Revolution, adherence to the principles of scientific management, largely based on industrial assembly-line notions of

the economy and efficiency of activities, dominated organisational management theory. The modern era starting point was perhaps the view proposed by Frederick Taylor (1911) whose work used time and motion studies to find the “one best way to do an effective and efficient job” (1911: 7). In Taylor’s view, the core principle of task specialisation was causally linked to efficiency and effectiveness, by standardising the tasks needed to achieve a defined result. From the mid 20th Century management writers, scholars and practitioners increasingly espoused new theories of the human relations and behavioural schools, arguing the importance of recognising individual human needs and sources of motivation. These behavioural approaches were cumulatively exemplified in the theories of Maslow (1954), Skinner (1957), and McGregor (1960), whose classic organisational management study noted that fundamental assumptions about human motivation inform workplace management and leadership practices; and that application of these variables would optimise organisational results. This conclusion is as valid as ever in today’s organisational contexts, both in the private and public sectors of South Africa.

Achieving organisational results is the goal of effective strategic and operational management (Mager & Pipe 1970). Locke and Latham (1990 & 2002) consolidated rigorous organisational research in their theory of goal-setting, task motivation and task performance. This approach is still recognised as a valid basis for effective results-based leadership and management.

“Organisational performance is the ultimate dependent variable of interest for researchers concerned with just about any area of management”, argued Richard et al. (2009: 5) in their seminal study of modern organisational management practice. They pointed out that March and Sutton (1997) found that of a total of 439 articles in the Strategic Management Journal, the Academy of Management Journal and Administrative Science Quarterly over a three year period, 235 articles included a measure of human performance as a dependent variable, but that limited attention had been paid to precisely what constitutes human performance.

Three categories of human needs and motives were defined in McClelland’s (1961) insightful theory of human motivation, namely the needs for Affiliation, Achievement and Power. This theory was recently further researched and

validated across a sample of 17 538 managers from 24 countries, demonstrating that “these workplace motivational factors are moderated by the cultural and management dimensions of performance orientation, space and power distance” (Van Emmerik, Gardner, Wendt & Fischer 2010). Organisational power dynamics were also found to be a key factor in change management and performance improvement by Clegg, Courpasson and Phillips (2006). These findings all have relevance in the South African results-based public governance context, given the diverse cultural norms, motives, aspirations and expectations of citizens, communities and public officials.

2.2.1 Management by Objectives Drucker (1955) coined the concept of Management by Objectives (MBO), asserting that “an effective management system must direct the vision and efforts of all managers towards a common goal. It must ensure that the individual understands what results are demanded of him. It must also ensure that the superior understands what to expect of each of his subordinates” (1955: 3). In Drucker’s view, the MBO approach ensured that individual and collective objectives were integrated. It also eliminated the ineffectiveness and misdirection that result from management by crisis. Schaffer (1991), however, commented in a classic Harvard Business Review article that “(i)ronically, Management by Objectives programs often create paper snowstorms in which managers can escape from decision making. As lists of goals get longer and documents get thicker, the focus becomes diffused, and energy is spent on the mechanics rather than the results” (1991: 69).

This perverse compliance phenomenon is valid, in the author’s professional experience in South African private and public sector performance audit functions. Complex performance measurement and reporting systems and Auditor- General compliance requirements can - and at times do - negate a sustainable focus on timely and meaningful citizen-friendly service standards (Fast 2012).

2.2.2 Situational Leadership Style and Follower Responses

2.2.2.1 Situational Leadership Theory

In essence, “a Situational Leader is one who can effectively adapt leadership styles, depending on the relevant situation and people in order to achieve the

desired employee engagement and management results”, according to Hersey and Blanchard (1969), who characterised Leadership Behaviour styles in terms of the effectiveness of direction and the level of support which leaders give their followers. They created a Situational Leadership Styles analytical grid, depicted in figure 2.1 and described below:

Situational Leadership Styles

Figure 2.1: Source: Hersey & Blanchard, 1969

“Directing Leaders define the roles and tasks of the follower, and super- vise them closely. Decisions are made by the leader, so that communication is largely one-way;

Coaching Leaders also define roles and tasks, but pro-actively seek ideas and suggestions from the followers and team. Decisions remain the leader's prerogative, but communication is much more two-way;

Supporting Leaders pass day-to-day decisions such as task allocation and processes, to their followers. The leader facilitates and takes part in decisions, but operational control is with the followers or team; and

Delegating Leaders are still involved in decisions and problem-solving, but operational control is with the followers, who decide when and how the leader needs to be involved in order to achieve their agreed results”.

Blanchard and Hersey found in their cross-national research project that effective organisational leaders are versatile in adjusting themselves around the leadership style grid according to the situation and capacity of their people. There is therefore not one right leadership style which is always most effective in achieving desired results (Blanchard 2009). Especially in the multi-cultural

South African public sector workforce, situational leadership styles are necessary for effective results-based governance (Grootboom 2011).

2.2.2.2 Coaching and capacity for performance enhancement

Ellinger et al. (2010) explored the influence of managerial coaching and mentoring competence on organisational human capital and employee work- related results. Their survey of 408 employees from a range of industries indicated that management coaching competence is positively related to service quality, organisational citizenship behaviour and thus to individual and group performance. Altman and Akdere (2008) constructed a model of “performance- inhibiting workplace dynamics” (2008: 410) through an extensive Human Resource Development (HRD) literature review, providing credible evidence for their set of three key workplace performance variables, articulated as follows (2008: 418):

• Mission / goal: “Are the professional and personal mission / goals of individuals congruent with the organisation?

• Capacity: Does the individual have the mental, physical and emotional capacity to perform at the required level?

• Motivation: Does the individual want to perform, no matter what?”

2.2.3 Performance Management

Armstrong (1997) asserted that “the concept of Performance Management began to grow out of the realisation that a more continuous and integrated approach was needed to manage and reward performance” and “partly as a reaction to the negative aspects of top-down Management by Objectives and one-way performance appraisal” (1997:20). He argued that Performance Management processes incorporate at least those parts of Management by Objectives (MBO) philosophy which highlight the importance of participative goal-setting and regularly reviewing progress towards agreed objectives. Armstrong cautioned that there are wide variations between several different approaches to the concept of Performance Management, contending that some use a performance-related pay scheme and, on the grounds that pay is the best motivator, “ignore the many other motivational and developmental features of a fully integrated, interactive performance management approach” (1997: 39). 34

2.2.4 In Search of Excellence for Results-based Management attributes Peters and Waterman (1982) developed a professional management following world-wide, through their study In Search of Excellence, based on several years of results-based management findings within major multi-national organisations. They sought to synthesise the earlier scientific management school with the later expectancy theory and organisational behaviour findings of Vroom (1964) and Mintzberg (1973). Peters and Waterman’s research indicated “that any intelligent approach to organising (for results) had to encompass at least seven variables … alliterated for memory hooks, as our stuff was just too hard to explain, too easily forgettable” (1982:9). The dimensions of effective results- based management depicted in the McKinsey 7-S Framework were defined as (Waterman, Peters & Phillips 1980):

“Shared Values (significantly, at the centre of the Excellence model): the core set of values that are widely shared in the organisation and serve as guiding principles of what is important and provide a shared sense of purpose.

Strategy: the positioning and actions taken by an enterprise, in response to or in anticipation of changes in the external environment, intended to achieve comparative advantage.

Structure: the way in which tasks and people are specialised and divided, and authority is distributed, how activities and reporting relationships are grouped, and the mechanisms by which activities are co-ordinated.

Systems: the formal and informal procedures used to manage the organisation, including management planning and control systems.

Staff: the people, their backgrounds and competence: how the organisation recruits, selects, trains, socialises, promotes, and manages employees.

Skills: the distinctive competencies of the organisation: what it does best along such dimensions as people, management practices, processes, systems, technology and customer relationships.

Style: the leadership style of managers: what they focus their attention on, questions they ask of employees, how they make decisions” (1980: 21).

2.2.5 The Balanced Scorecard results-based methodology

Kaplan and Norton (1996a) undertook a multi-country study as a research unit on behalf of international management consulting firm KPMG to test the hypothesis that existing performance-measurement approaches, relying on financial accounting measures, were becoming obsolete. Their findings led to what became known as the Balanced Scorecard approach, organised around four distinct process and results perspectives: financial, customer, internal processes; and innovation and learning (Kaplan & Norton 1996b).

2.2.6 Gilbert’s Behaviour Engineering and Binder’s Six Boxes models

Thomas Gilbert (1978) is described by the International Society for Performance Improvement (ISPI) as the father of performance improvement theory, because he contributed significant constructs to the theory of human performance. By focussing on “valuable accomplishments produced on the job by appropriate behaviour”, Gilbert highlighted the link from individual or group behaviour to organisational results. His definition of “human competence as a function of worthy performance” (expressed in Figure 2.2 below), supported the now common calculation of Return on Investment (ROI) in cost-benefit evaluation.

Equation for Worthy Performance

value of worthy accomplishments ______performance = = costs of behavior

Figure 2.2: Source Gilbert, 1978

The subsequent research of Carl Binder (1998 & 2005) defined human behaviour influencers into six sets, based on Gilbert’s model. Binder (2005 & 2007) categorised behaviour influencers with his Six Boxes performance management framework. Binder’s results-based teaching and practice in several countries and cultures, including South Africa, has demonstrated the

relevance and efficacy of this framework in various organisational contexts. The Binder (2005) “Six Boxes model consists of:

Expectations and Feedback: As in Gilbert’s original model, this factor includes information provided to workers about what they are expected to accomplish and how they are performing in relation to those goals;

Tools and Resources: This covers not only the particular tools used to perform work and the work processes themselves, but also such resources as expert consultants, reference documentation and user interfaces;

Consequences and Incentives: The intended and inadvertent consequences of behaviour, both monetary and non-monetary;

Skills and Knowledge (Competence): This fourth factor includes interventions designed to produce skills and knowledge in the individual. Investing in this category can be unproductive, if done without ensuring that influencers in the top three boxes are well aligned;

Selection and Assignment (Capacity): The factors the individual brings to the job (e.g. qualifications, social skills), and which the organisation manages through optimal selection of people and assignments to jobs; and

Motives and Preferences (Attitude): This factor encompasses attitudes that influence employee motivation and satisfaction. It includes preferences for type of work, available incentives and the working environment ”.

2.3 RESULTS-BASED MANAGEMENT THEORY INTO PRACTICE

Organisational learning and results-based knowledge management have become the focus of rich research in recent years, towards understanding the practical application of human performance technology in organisations. Rothwell (2008a & 2009), for instance, argued that a key goal of results-based management is to leverage organisational learning towards achievement of improved organisational performance. He found that two types of organisational change were key to organisational learning. The first, adaptive learning, means “behavioural changes made in reaction to changed external environ-

mental conditions”. The second, proactive learning, means “organisational changes that have been made on a wilful basis” (Rothwell 2008b: 98).

A literature review by Cascio and Aguinis (2008a) found that “the five most frequent topics published in the Journal of Applied Psychology (JAP) from 2003 to 2007 were job satisfaction, attitudes, involvement and commitment, work groups/teams, performance feedback, organisational culture and climate, workplace policies, behaviour, prediction of workplace performance and organisational results”. That same review also found that “the five most prevalent topics published in Personnel Psychology (PPsych) journal, also between 2003 and 2007, were: behaviour, prediction of processes and outcomes, performance appraisal and feedback, psychometric testing issues, test validity and validation issues, and work groups / team effectiveness” (Cascio & Aguinis 2008a).

When Cascio and Aguinis (2008b) coded the articles published in JAP and PPsych using 50 categories, they commented that “the congruence between the lists of most frequent topics is remarkable”; suggesting that these publication trends were valid indicators of significant factors in results-based management research.

Based on his extensive international workplace research, Aguinis (2009: 6) found that “an organisational performance management system could serve six discrete and diverse purposes, namely:

2.3.1 Strategic purpose

By linking the organisation’s goals with individual goals, the Performance Man- agement System (PMS) reinforces behaviours consistent with the attainment of strategic organisational goals.

2.3.2 Administrative purpose

Performance management systems are a source of valid information for making administrative decisions about employees, including salary adjustments, promotions, termination, recognition of superior or poor individual performance.

2.3.3 Communication purpose

A performance management system can be an excellent communication device. Employees are informed about organisational expectations, how well they are doing and receive feedback on areas that may need improvement.

2.3.4 People development purpose

Developmental feedback is an important component of a well-implemented PMS. Ongoing feedback allows for the identification of strengths and weaknesses, as well as the causes of deficiencies.

2.3.5 Organisational maintenance purpose

An important component of any workforce planning effort is the talent inventory or skills audit, which is information on current human resources (e.g. skills, abilities, promotional potential, and assignment histories of current employees).

2.3.6 Documentation purpose

Performance data can be documented to assess the predictive accuracy of selection instruments. If test scores correlate with actual workplace results, then the test can validly be used to assess future job applicants”.

2.4 PERCEIVED VALUE OF RESULTS-BASED MANAGEMENT SYSTEMS

A recent Australian survey of almost 1000 Human Resource professionals indicated that “96% of their organisations implement some type of results-based management system” (Nankervis & Compton 2006). Similarly, Cascio (2006) surveyed 278 organisations in 15 countries, finding that “91% currently implemented a formal performance management system; and that organisations with results-based management systems were 51% more likely to perform consistently better than the other organisations in the sample”. Schmidle (2011), however, found that public performance management had limited usage and lowered expectations in United States government agencies, asking “why bother?” (2011: 370). On the other hand, the author has frequently observed that when public performance objectives in the municipal and provincial spheres are stated in clearly measurable, citizen-friendly terms, community expectations and officials’ commitment were often heightened. This aspect of measurable

performance credibility, accountability and citizen-centricity is assessed in a later chapter in the Cape Town City-regional context.

2.4.1 Human Performance Technology model

Human Performance Technology (HPT) is defined by the International Society for Performance Improvement as “a systematic approach to improving productivity and competence, using a set of methods and procedures for realising opportunities and for solving problems related to the performance of people, within institutional contexts” (ISPI 2010:3). The ISPI‘s Human Performance Technology model is illustrated below:

HUMAN PERFORMANCE TECHNOLOGY (HPT) MODEL

Performance Analysis (Need or Opportunity)

Cause Analysis Intervention Selection Intervention Design and Implementati Development on

Organizational Desired Lack of Environmental Performance Support Change Support (Instructional and Management Analysis Workforce Non-instructional) (Vision, Mission, Performance - Data, Information Process Consulting and Feedback Job Analysis/ Work Design Employee - Environment Development Support, Resources Personal Development and Tools Communication, Gap Human Resource Networking & Development Analysis - Consequences, Alliance Building Incentives or Rewards Organizational Communication Lack of Repertory of Organizational Design Environmental Actual State Behavior and Development Analysis of Workforce Skills and - Financial Systems Knowledge • Organizational Performance Environment - Individual Capacity (Society, Stakeholders & - Competition) Evaluation • Work Environment (Resources, Tools, Human Resources Policies) • Work Formative (Work Flow, • Performance Meta Procedure, Analysis Responsibilities & Evaluation/ • Cause Analysis Ergonomics) Validation • Worker • Selection/Design of Interventions • Formative, Summative Summative, • Immediate Reaction Confirmativ Copyright 2004. The International Society for e • Immediate Processes Performance Improvement HPT model is from page 3 Competence Confirmative • Formative, of Fundamentals of Performance Technology, Second Summative, • Continuing Edition. Confirmativ Competence (Job e Products All rights reserved by DM Van Tiem, JL Moseley and Transfer) • JC Dessinger, published by ISPI in 2004.

Figure 2.3: Source: International Society for Performance Improvement 2010

This complex Human Performance Technology model (ISPI 2010:3) includes all phases of defining workplace performance factors and gap analysis, in order to

evaluate optimal results-based systems and to resolve performance deficiencies. Its systematic use has been validated by ISPI Certified Performance Technologists, including the author, in many public and private sector results-based settings world-wide. In their paper HPT: The Culture Factor, Addison and Wittkühn (2001:14) found that international usage of the systematic Human Performance Technology approach indicated that the results-based fundamentals remained consistent across many countries, but that organisational and national culture “shared values and group behaviour norms” played a significant role in how optimal results were achieved.

Tosti (2007a) argued that organisations which wanted to achieve sustained results must first define their strategy into a mission, with a set of clear goals and objectives. He emphasised that Human Performance Technology on its own is inadequate and that when one looked closely at workplace performance at the operational level, it was clear that “sustainable results depend not just on what people do (the processes), but also on how people behave as they do things (the values and practices which they demonstrated)” (Tosti 2007b). From clearly defined objectives, managers could then develop or adapt processes which produced the desired results when effectively executed. Tosti depicted the alignment of results-based management strategy, process and people across the organisation visually as in figure 2.4 below:

Aligning Strategy and People for Sustained Results

Mission

Goals/ Objectives (Organisational Level)

Processes (Operational Level)

Tasks (Job Level)

Results

Figure 2.4: Source: Tosti, 2007a: 22

2.5 NEW PUBLIC MANAGEMENT: THE BUSINESS OF GOVERNANCE

The emergent applicability and potential value of a results-based management approach were, until recent years, not as self-evident in the bureaucracy of public governance, as in profit-driven, private sector enterprises. In a paper originally delivered at a symposium sponsored by the American Society for Public Administration (ASPA) on the topic of “Measuring Public Service Motiva- tion” (PSM), Perry (1996) proposed a conceptual construct consisting of “six dimensions: attraction to public policy making, commitment to the public interest, civic duty, social justice, self-sacrifice, and compassion”. Many practitioners of public administration have argued that “public service is a special calling; and that those who answer the call may be different from their fellow citizens, with respect to these attributes” (Perry 1996: 5). Variables in South African public sector leadership competence and staff attributes are considered in later chapters.

In the closing decades of the 20th Century the Reinventing Government movement in the United States gained popularity, seeking to apply business principles such as privatisation, decentralisation and managerialism to achieve modernised public sector performance. In the United Kingdom and several Commonwealth countries including Australia, India, Canada and New Zealand, the modernisation movement became known as New Public Management (Hood 1991 & 1995). These structural changes “target the public employee, who is expected to respond with greater on-the-job creativity” (Cohen & Brand 1993), “risk-taking” (Cohen, Eimecke & Heikkila 1998), “accountability and productivity” (Osborne & Gaebler 1992). In a contrasting view, Kearney and Hays (1998) examined the development of the Reinventing Government movement, arguing that “it represents an attack on bureaucratic power and the career public service…it therefore poses challenges to public service values, and threatens to undermine the role played by public servants in modern governance” (1998:2).

Recent public governance trends in many countries indicate a search for a pragmatic balance between business-like efficiency, effectiveness, compliance and productivity; and citizen-centred approaches, in which public institutions and staff become more open and inclusive in their relationships with citizens,

Beyond NPM (Bourgon 2008). South African public service departments and agencies vary in their approach: sometimes rigidly compliant with New Public Management (NPM) efficiency regulations and on occasion moving Beyond NPM, seeking to strike a more balanced synthesis between results and citizen engagement. This Batho Pele (RSA 1997b) approach for achieving synthesis between systems and citizen-centricity is assessed in later chapters.

2.5.1 Nature and Scope of Public Governance

One of the more generally accepted international frameworks of effective public governance is that of the report Managing Development: The Governance Dimension (World Bank 1991), which identified five systemic dimensions of how government institutions and agencies relate to people and organisations in the country, city or region. These five public governance dimensions address (World Bank 1991: 27): “accountability, transparency, organisational effectiveness, rule of law and technical competence, elucidated as follows:

• Accountability

Accountability means holding elected officials answerable for their actions and performance, and holding public managers responsible for the results of their decisions. Accountability can range from the narrow concept of financial answerability for incorrupt handling of public funds, to the broader concept of political accountability of democratic representatives for dutifully living up to the expectations created while they were campaigning for election.

• Transparency and Open Information Systems

Both accountability and effective rule of law require open and public procedures – in other words, transparency in governance. Facts and figures about the economy, society, policy and programme results, legal requirements and government decisions should be regularly and objectively collected and widely published for public information and citizen accessibility.

• Organisational Effectiveness

An important goal of effective public governance is to ensure that the organisational design and managerial structures of government have the capacity to deliver required services to citizens, cost-effectively and reliably.

• Rule of Law

Governance is enhanced to the extent that there exists a functioning rule of law, rather than rule by political whim. Rule of Law refers not only to the actual content of regulations, but also to the institutional processes by which laws and rules are made, interpreted and enforced. Stability and predictability of legal norms and practices are essential for democratic equity and equality.

• Technical Competence and Expertise

Effective public governance also depends on the technical, professional and managerial knowledge and skills of the people in government who make and carry out the decisions, to meet the developmental and service provision needs of the people. Results-based public governance requires purposeful investment in relevant systems, knowledge and skills”.

2.5.2 Determinants of Results-based Public Governance

Evidence from sixty-five empirical studies of the core determinants of effective public governance performance was critically reviewed by Boyne (2003), who grouped his statistical findings on the basis of five theoretical perspectives, namely: resources, regulation, markets, organisation and management. His analysis suggested that the most likely sources of improvement in governance results are extra resources and better management.

Governments in many countries have “invested significant amounts of money, staff and their reputations in the development and implementation of performance measurement, management and accountability (PMMA)”, while Thomas (2008) commented, however, that “experience to date in most such cases has been disappointing, in terms of fulfilling the somewhat grandiose promises with which such approaches were usually launched” (2008: 169). United States President Obama’s frequently-quoted 2009 Inaugural Address message is apposite: “the question we ask today is not whether government is too big or too small, but whether it works!” (Obama 2009). This results-based governance message was echoed in a federal Memorandum from the United States Executive Office of the President (2010) with the subject line: Performance Improvement Guidance: Management Responsibilities and Government Performance and Results Act.

Moynihan and Pandey (2010) proposed in a paper originally presented at the 2008 conference of the American Political Science Association (APSA), that “understanding public employee use of performance information is perhaps the most pressing challenge for scholarship on public sector performance management”. They further argued that “governments have devoted extraordinary effort in creating performance data, assuming that it will be used to improve governance, but there is much that we do not know about the factors associated with the effective use of that information” (2010: 835). Based largely on data from a survey of US local government managers, their findings were that public service motivation, governance leadership, information availability, organisational design, culture and administrative flexibility all affected performance information use. Bovaird and Loffler (2009) examined causal factors in results-based governance and good quality service in the public sector, globally. Their in-depth study identified several issues facing modern governments worldwide, including the changing role of public sector human resources, in a mixed economy of cost-effective service provision and public governance issues such as ethics, equalities and citizen engagement. Similar findings regarding public sector staff diversity, innovativeness and community engagement policies are reflected in Public Servants as Partners for Growth (OECD 2012). These findings certainly have resonance in assessing the cost- effectiveness, competence and consistency of results-based public governance in South Africa.

In comparing and contrasting the relevance, strengths and shortcomings of these various approaches to performance management systems, one concludes that seven challenges to effective results-based organisational implementation are evident, namely:

• linking job descriptions to organisational performance management indicators;

• measuring, evaluating and developing competence dimensions;

• keeping leaders and executive management clearly focussed on strategy;

• implementing team and synergistic staff performance motivation;

• linking compensation to performance levels;

• effective matrix management accountability in complex organisations; and

• keeping the performance system meaningful, across departmental divides.

These cross-national challenges are explored and analysed in later chapters, within the South African co-operative government and results-based institutional management contexts.

2.6 ASSESSMENT OF INTERNATIONAL BODY OF KNOWLEDGE

The international experiences, views and data summarised above have been compiled from referenced publications and a deliberate range of dialogic interviews with governance and performance improvement practitioners and consultants in North America, Europe, Australasia and Africa, associated with academic and professional conferences and programme evaluation projects during 2000–2011. Additional relevant sources of results-based public governance assessments which have not yet been mentioned include the OECD national and city-regional development studies, Compendium of Best Practices and Innovations in Public Administration (UN Department of Economic and Social Affairs 2009), and the Index of African Governance Results and Rankings (Rotberg & Gisselquist 2009), researched for the Harvard University’s Kennedy School of Government.

Exemplary results-based public governance principles, precepts, practices and strategies have been distilled from all these sources into the following five key- note themes, which are explained in more detail below:

Theme 1: Building the public services of tomorrow with, for and around communities

Theme 2: Innovative Leadership Skills for Governance Excellence

Theme 3: Competence and Capacity for Results-based, Accountable Public Management

Theme 4: Results-based Public Governance tools: Planning, Budgeting, Monitoring, Evaluation, Auditing and Recognition

Theme 5: Strategic Human Capital Development.

Comparison and synchronisation of these cross-national results-based public governance themes and exemplary practices with the identified South African constitutional precepts and developmental priorities provide the foundation for the design of an original fit for purpose public performance model for informing, analysing, monitoring and evaluating South African results-based public governance policy, strategies and human performance improvement practices, in subsequent chapters. As highlighted in the Brookings Institution’s study of improving accountability for public governance in developing nations (Griffin et al. 2010: 5), it is evident that the development of democratic institutions and modern technology make it increasingly possible to promote enhanced results- based accountability, transparency, effective service prioritisation and reduced corruption.

2.7 THEME 1: BUILDING THE PUBLIC SERVICES OF TOMORROW WITH, FOR AND AROUND COMMUNITIES

One of the most pervasive current cross-national themes of public governance and management research, discourse and practice is that of community engagement and public participation in developmental and service delivery planning, performance monitoring and accountability for results.

2.7.1 The United Nations World Public Sector Report (2008) People Matter: Civic Engagement in Public Governance

This report contrasted “the notions of corporate governance, which ultimately aims at maximising monetary profit, with public governance, which aims at maximizing public good”. This wide-ranging UN Report affirmed that “the institutions and processes of public governance should aim systemically at enhancing public welfare fully and equitably”. This Report presented civic engagement as a key public governance process, because it can strengthen democratic decision-making and accountability, transparency and public trust. The World Public Sector Report (UNDESA 2008) put forward the idea that “these attributes have the potential for drawing disadvantaged groups into the workings of public governance, which is conceptualised as having two inter- linking components namely: “Rights, including such dimensions as the rule of

law, political and civil rights; and Development Management, such as planning, budgeting, monitoring and evaluation”.

The United Nations Report paid particular attention to “bridging the gap between the rhetorical commitments of governments and actual participation that leads to concrete results, benefiting the poor and the marginalized” (UNDESA 2008: 13). The case studies focussed not only on the issues affecting the evolution of public policy, but also on the participation in practice in key public governance activities such as policy communication, budgeting, performance indicators, service standards and public accountability.

In his study of citizen engagement and performance measurement tools, Price (2006) proposed a similar hypothesis. Using case studies from the Sloan Foundation’s programme on Performance Assessment of Municipal Govern- ments, Price examined the roles played by citizens, non-profit agencies and academic institutions in organising citizen groups and helping governments to increase public sector productivity by promoting values such as citizen engagement, performance measurement and evaluation. His conclusion was that “when priority evaluation, citizen engagement and performance measurement occur simultaneously, governments seem to be more productive” (Price 2006: 114).

The main limitations to results-based public engagement partnerships are often in the complexities of effectively managing community participation. Community diversity needs to be skilfully and sensitively planned and systematically monitored, as highlighted by Cào, Clarke and Lehaney (2003) in their international study of public organisational change processes. Similar findings were made in a participatory action research study in a socio-economically disadvantaged region in Hungary (Bodorkos & Pataki 2009). The authors described the public governance hurdles in facilitating sustainability development with local communities (often silenced groups), and specifically the need to legitimise such development work in the eyes of bureaucrats and funding organisations. In this community engagement context, the value of public sector management capacity and commitment in building a governance culture of effective community consultation for results, is important to note.

2.7.2 The Organisation for Economic Co-operation and Development

The OECD has focussed member states’ attention on issues of effective public engagement. Based on a series of member state questionnaires, workshops, and case studies, Cities for Citizens: Improving Metropolitan Governance (OECD 2001a) noted that governance capacities were often being stretched in relation to urbanisation policy, conflict resolution, community relations and development planning. This OECD analysis concluded that there was no one ideal model of results-based metropolitan governance, but that a number of governance principles could be identified. Notably, the report clearly indicated that “two significant results-based urban governance principles are (OECD 2001a: 160):

Cities for Citizens: Cities should be developed, not only to meet the needs of the economy, but also to help fulfil the aspirations of people for a higher quality of life, through measures that can enhance the liveability of cities.

Participation: Given the growing diversity and size of metropolitan regions, governance must promote the participation of civil society, social partners and all levels of government involved in the metropolitan area, so bringing government closer to people”.

In a policy statement to leaders of member states in Paris (OECD 2008c), the OECD Secretary-General underscored the increasing need in public governance for community consultation and engagement, by “building the public services of tomorrow with, for and around customers” (OECD 2008c: 2). People want services which are faster, more convenient and responsive to their specifications. Examples of civil society engagement and development effectiveness in the Global South were noted in Lingan, Cavender, Palmer and Gwynne’s (2010) briefing paper for One World Trust / World Vision, highlighting the need for results-based government and civil society agencies to define an effectiveness framework of norms, standards and good practices.

2.7.3 The International City / County Management Association (ICMA)

The ICMA works closely with member city and county managers and practitioners in North America and globally, to refine processes for effective community engagement. The ICMA Report (Fleming 2008) was based on a

number of case studies of local governments in the United States which have adopted Citizen Relationship Management (CRM) systems, including the use of the generic 311 non-emergency phone number, to enable citizens to report service problems or access information. The updated study Lessons in Connecting with Citizens at the ICMA’s 2011 conference underscored the need for citizen-friendly, non-technical performance indicators and reflected a number of common factors among the community engagement systems which promote improved results. These included “two key factors (ICMA 2011: 5 & Keshav 2011):

• When designed with the needs of the community in mind, the CRM system should provide citizens with an easy way to connect with their local government and offer a means to improve service level effectiveness; and

• Implementation of a CRM system in the local government organisation works best when done in planned phases, with each phase building systematically on community engagement work done in earlier phases”.

With the same goal as the ICMA CRM project but using more basic technology, An Assessment of the Impact of Bangalore Citizen Report Cards on the Performance of Public Agencies (Ravindra 2004) was a World Bank working paper focussing on participatory evaluation and responsive public governance performance. Behind the Bangalore Citizen Report Card was the notion that “users can provide relevant information on the quality and adequacy of public services and service providers”(2004:17). The Citizen Report Card was designed to reflect the experience of the community, with a range of services. Such feedback facilitates the rating of performance of a service provider; and also serves as an input to meaningful local results-based public governance and performance improvement.

2.7.4 The Urban Institute (UI) Center on International Development and Governance has facilitated local community engagements in 28 countries in Eastern Europe, Africa and other parts of the developing world. One of the Urban Institute’s most effective recent community-building projects, according to the UI Director (Hatry 2009), was the USAID-funded Local Government and Decentralisation in Albania (LGDA) project, in which UI staff worked closely with

65 municipalities and civil society organisations, providing training and technical assistance. The Service Improvement Action Plan (LGDA 2007) detailed the results-based methodology used, indicating that Service Improvement Action Planning can be done by local government officials alone. “It becomes most powerful, however, when citizens are included as key stakeholders in the process, with the aim of integrating local officials and citizens into a dynamic planning, monitoring and management team” (LGDA 2007: 3).

2.8 THEME 2: INNOVATIVE LEADERSHIP SKILLS FOR GOVERNANCE EXCELLENCE

“Picking performance measures is Leadership’s Job” declared the Kennedy School of Government Performance Leadership Report (Behn 2011a: 1). A subsequent issue of that incisive Report series argued that “most public executives lack the personal determination, managerial skills and political savvy” (Behn 2011b: 1) needed to achieve results from reluctant officials. In Behn’s view, the results-driven public executive “must learn the necessity of being unreasonable-and persist in that unreasonableness” (Behn 2011b: 1).

Recently, however, the public governance research into innovative Situational Leadership, Employee Engagement and Alignment between Organisational and Individual Performance has become global, especially when resources are not readily accessible in providing financial incentives towards managing for public results. In Leadership in the British Civil Service, Chapman and O’Toole (2009) emphasised the need for innovative leadership and motivational strategies. They argued that “the loss of traditional constitutional patterns, marginalisation of senior officials in the policy process and the emergence of business methods as the preferred model for public administration, have led to requirements of public leadership skills based on compliance”; and not necessarily of sustainable competence and public service motivation.

In contrast, several senior officials interviewed in the city-regions of Washington DC, Pittsburgh PA and Charlotte NC (May / June 2009) as well as counterparts in European and Southern African governments, concurred with Wallace and Trinka (2009) that “engaged employees supercharge productivity, reduce staff

turnover and amplify customer focus, possibly by as much as 20 percent. What drives this engagement? The leadership skill of the immediate manager is more important than any other organizational variable. Great leadership engenders high levels of engagement, which drive organizational performance” (2009: 13). Wallace and Trinka’s earlier (2007) research into the competence of effective public leaders identified what differentiates the best: “It comes down to a vital few competencies: coaching performance, developing career scope and communicating meaning in an employee’s work” (Wallace & Trinka 2007: 32).

2.8.1 Limitations of government systems Reflecting on the differences that motivational leadership can make in his Public Management Report Behn (2006) of the Kennedy School of Government argued that “before government can do anything, it first has to create a system for doing it” (2006:1). Contrasting pro-active leadership skills with a reliance on purely bureaucratic systems, he had earlier proposed “11 Better Practices that can Ratchet up Performance in the IBM Center for The Business of Govern- ment series (Behn 2004). Behn’s results-based practices were as follows:

Creating the Performance Framework: Practice 1: Articulate the organisation’s mission. Practice 2: Identify the organisation's most consequential performance deficit. Practice 3: Establish specific performance targets. Practice 4: Clarify your theoretical link between targets and mission Driving Performance Improvement: Practice 5: Monitor and report progress frequently, personally and publicly. Practice 6: Build operational capacity. Practice 7: Take advantage of small wins to celebrate success. Practice 8: Create esteem opportunities.

Learning together, to Enhance Performance Practice 9: Check for distortions and mission accomplishments. Practice 10: Analyse a number and a variety of performance indicators.

Practice 11: Adjust mission, targets, strategy, monitoring and evaluation, operational capacity, rewards, esteem and analysis” (Behn 2004: 1).

Behn (2009) included this framework in a Driving Government Performance executive education seminar for Western Cape provincial and municipal senior management in January 2009, with positive responses from participants (Majiet 2009 & Lubelwana 2009).

2.8.2 The Public Sector’s Secret Weapon: Connection to the Job

For the past two decades, the USA Merit Systems Protection Board (MSPB) has conducted periodic Government-wide Merit Principles surveys of Federal employees to solicit their engagement perceptions of their jobs, work environments, supervisors, and agencies. The scale developed to measure the engagement level of USA Federal employees was derived from answers that 36 926 employees gave to the 2005 Merit Principles Survey (MPS 2005). “Key issues which the MPS 2005 survey found to be significant were:

• Satisfaction with leadership;

• Pride in one’s work & workplace;

• Opportunity to perform well at work;

• Motivation by feedback and recognition received;

• Prospects for future personal and professional growth; and

• A positive work environment with some focus on teamwork”.

According to the MPS engagement scale, “about one-third of Federal government employees were fully engaged, one-half were somewhat engaged, and the remaining 17 percent were not engaged” (MPS 2005:5). A public governance study of “goal ambiguity, work complexity and work routineness in federal agencies” (Lee, Rainey & Chun 2010) highlighted that independent research findings emphasised that clarification of an organisation’s goals enhanced organisational and individual performance.

Expressing similar principles, the U.S. Office of Management and Budget developed the Program Assessment and Rating Tool (PART), a procedure to

evaluate the performance of federal programmes. New Public Management reforms and strategic planning initiatives in other nations also imply such assumptions (Boyne & Walker 2004). A thought-provoking paper at the 2009 ASTD Conference posited a concept entitled The Public Sector’s Secret Performance Weapon: Connection to the Job (Shatté 2009). Her study identified three incremental levels of job connection and results-based employee commitment:

• Level 1: There for the pay and the benefits;

• Level 2: Liking the work, the challenge, the people; and

• Level 3: Contributing to something larger than themselves.

2.8.3 Results-based governance leadership: the CitiStat phenomenon

The potential effectiveness of leadership and results-based governance was summarised by Behn (2007) who described the City of Baltimore’s CitiStat processes as “a strategy that a mayor can employ to mobilise city agencies to produce specific results” (2007: 1). Behn found that this approach had been adopted by several progressive US states and cities, including the state of Maryland, where the former Baltimore mayor was currently governor. Behn argued that “A city is employing a CitiStat performance strategy if it holds an ongoing series of regular, periodic meetings during which the mayor and the principal members of the leadership team plus the directors of service agencies use the data to analyze the agency’s past performance, to establish its next performance objectives and strategies” (2007: 3).

Effective interactive reviews of results-based governance involve focussed feedback, follow-up on past performance deficits and commitments to address specific problems; as well as expectations for future performance. The author’s interviews and observations of similar Mayoral performance management initiatives in other major United States city-regions namely Washington DC, Baltimore MA, Pittsburgh PA, Charlotte NC generated further insights into the dynamics of political and management accountability for results in city and state public governance systems.

In the US capital city-region of Washington DC, for example, a campaign promise in the Mayor’s 2006 election campaign was to ensure effective citizen 54

communications, inter-agency co-operation and policy delivery. Washington’s CapStat performance dashboard was launched on the day of the mayoral inauguration, with a permanent CapStat operations room for weekly accountability sessions, in which the Mayor interacts with the City Administrator and agency directors, to monitor and evaluate progress against defined goals and to highlight new issues raised by ward representatives or through the citizen action hotline system. The CapStat sessions are videotaped, and edited summaries are transmitted on a local television channel. Washington’s City Administrator (Tangherlini 2009) emphasised that the CapStat approach is based on the transparency and immediacy of information, data-driven decisions and inter-agency shared accountability for results.

The Governor of Maryland implemented a similar performance dashboard process at state capital level with similar immediacy and drive, soon after his 2008 election (Brenner 2009). The Maryland StateStat website (2009) indicated a governance focus on four key public outcomes: Security, Skills, Sustainability and Health, each with a limited number of specific measurable objectives. The data is reviewed weekly and updated by the Governor’s Delivery Unit task team. These StateStat and CitiStat results-based principles and technologies were embodied in a public policy review paper of the United States National Perform- ance Management Advisory Commission (USNPMAC 2009), indicating a growing awareness of the value of results-based public management data for pro-active political leadership. This Commission is a collaborative effort of 11 public sector organisations representing jurisdictions across the USA and Canada. The Commission’s shared goal is to “provide a framework that goes beyond simply measuring and reporting, also seeking to enunciate management principles and integrate management practices which can be adopted and shared by all levels of government alike” (2009:2).

2.8.4 Public Leadership: What it takes to Change Government

A public leadership study by Booz Allen Hamilton (2009) identified the leadership practices used by successful government executives to achieve their mission results. Booz Allen’s Organisation and Strategy consultants teamed with the John F Kennedy School of Government in a rigorous examination of leadership approaches within US federal, state and city governments. They

compiled 11 case studies from various administrations, to identify the methods used by successful government leaders to achieve their goals and to assess whether different methods were used by less successful leaders. The study found that most successful public leaders and agencies used many of the same results-based governance methods.

This was evidenced by the number of similarities among prominent, successful government leaders and agencies and by the contrasts with those which underperformed. The study found that “most successful US government leaders:

• Pursue just two or three goals: successful leaders identified and pursued fewer goals than those who failed;

• Get a running start by being proactive: successful leaders informed their strategy choices by gathering data and soliciting input, meeting with and listening to key stakeholders;

• Use a strategy planning process – but without overdoing it: seventy-five percent of the successful agencies used a defined planning and communication process, compared to just 11 percent of the control group; and

• Use performance measures: successful agencies used measures to communicate their mission, to delegate and establish accountability” (Booz Allen Hamilton 2009: 2).

2.9 THEME 3: COMPETENCE AND CAPACITY FOR RESULTS-BASED, ACCOUNTABLE PUBLIC MANAGEMENT

As results-based governance and organisational effectiveness have become core public issues internationally, attention has also been given to the roles, competence and capacity of senior management staff in government administrations (OECD 2008). Senior public management was described in this OECD study as “the interface between political governance and effective public administration” (OECD 2008: 68). Behn (2001) defined management’s governance accountability to be focussed “in three areas: finances, fairness and performance, arguing that the traditional public administration model had emphasised finances and fairness, but not enough on performance”. Central to

modern public administration and results-based governance in many countries, the intention of this theme is to reflect major trends in the accountability of professional public management knowledge and skills, for Value for Money (VFM) governance and service delivery.

2.9.1 Modernisation of Governance: the 2001 British strategy Soon after the 2001 New Labour Party election victory in Britain, the United Kingdom Cabinet Office and the Centre for Management and Policy Studies in the UK Civil Service College (CSC) launched a framework of policies for the British Public Service Modernisation programme, delineated in A Practitioner’s Guide for Delivering Change Successfully within the Public Service (Wooldridge 2002). It focussed on “ the managerial skills needed for developing and implementing change strategy depicted in Table 2.1 below (Wooldridge 2002).

COMPARISON OF TRADITIONAL PUBLIC MANAGEMENT

AND THE LEADERSHIP SKILLS NEEDED TO ACHIEVE CHANGE

Traditional manager New style manager

• Maintains stability • Adapts to change

• Focusses on controlling and • Focusses on motivating and problem solving inspiring people

• Manages planning and • Sets direction and strategy budgeting • Aligns people toward a • Organises people into jobs purpose

• Has specialised, technical • Has broad, global perspective perspective • Does the right things • Does things right • Provides vision, principles and • Provides assignments, policies boundary conditions and directives

• CREATES ORDER (author’s • PRODUCES CHANGE emphasis) (author’s emphasis)”

Table 2.1: Source: Presentation by CSC Research Services to Directors Forum: Wooldridge 2002:29

2.9.2 ICMA and UN-HABITAT: Practices for Effective Local Governance

In 1991 the International City/County Management Association (ICMA) convened a Task Force on Continuing Education and Professional Develop- ment to “identify the core skills required of effective city managers and elected 57

officials”. ICMA institutional members defined essential knowledge and skills for effective local governance and management (ICMA 2004). The ICMA (2010) and Keshav (2011) affirmed these capacity-building drivers in designing and implementing its Democratic and Effective Municipalities Initiative (DEMI) in Kosovo. Similar competence profiles were reflected in UN-HABITAT (2005: 6) “ for use in African and Asian regions, including:

• Staff Effectiveness: Promoting the skills development, motivation and performance of staff and employees throughout the organisation;

• Citizen Service: Determining citizen needs and providing responsive, equitable services to the community;

• Performance Measurement, Management and Quality Assurance: Maintaining required quality in staff work, and operational procedures;

• Financial Analysis: Interpreting financial information to assess the short- and long-term fiscal conditions and determine cost-effectiveness; and

• Strategic Planning: Positioning the organisation and the community for events and circumstances that are anticipated in the future”.

The centrality of these public sector managerial and technical competences to results-based public governance was noted in the compilation of policy lessons of the Public Employment and Management Network (OECD 2011c).

2.10 THEME 4: RESULTS-BASED GOVERNANCE TOOLS: PLANNING, BUDGETING, MONITORING & EVALUATION, AUDITING

Building a results-based organisational culture is at the core of the modernisation of public governance and management systems (OECD 2008e: 54, 55). This OECD study points to several lessons which can be drawn from these reforms, including:

• When teams and individual employees understand how their performance contributes to the overall mission and outcomes, they deliver best results;

• High performance people should be publicly commended. Bonuses or base pay increments, however, should never be overemphasised. This cautionary note is also made by Bowman (2010) who found that pay-for-performance

plans have “consistently malfunctioned, despite agency history and data that document its problematic nature.” (Bowman 2010: 71); and

• Public sector leaders should be competent in performance goal setting, assessment, feedback and interpersonal skills.

2.10.1 Effective Tools for Accountable Public Management

Results-based governance tools are not entirely new to public management. Many UK local authorities developed ways of measuring their organisational performance in the 1980s, according to the Local Government Management Board (Davis 1998). Soon thereafter, the City of Charlotte in North Carolina, USA, earned a place in the Balanced Scorecard Hall of Fame – the first Public Sector Organisation (PSO) to do so. Kaplan argued in the Balanced Scorecard Report (1999) that “PSOs should measure their strategic success by how cost- effectively they meet the needs of their constituencies” (Kaplan 1999: 3). City of Charlotte political leaders and officials selected the themes depicted in figure 2.5 below, as the basis for the City’s Scorecard perspectives and indicators: City of Charlotte – City Council’s Themes and Strategy Map

Figure 2.5: Source: Kaplan 1999: 3

Toronto City Manager Thomas Plant (2009a; 2009b; 2009c) summarised the development of governance mechanisms to ensure the relevance, budget alignment and progress monitoring of his City’s strategic plan. “These mechanisms included the establishment of strategic planning processes, performance measurement, and reporting of strategic results”. Based on his wide experience and extensive research within the metropolitan City of Toronto and other major Canadian municipalities, Plant found that “ensuring the relevance of the strategic plan is a vital factor in its successful implementation”.

He indicated that “this can be accomplished by putting mechanisms in place that link the strategic plan with the municipality’s budgeting process, as well as with the strategic outcomes”. Plant’s study (2009b) found that “effective linkage between the Municipal Strategic Plan and Budget had occurred in the past, only when strategic performance priorities had been identified and budgeted funds had been earmarked. The performance budgeting process is central to Canadian municipal government strategic effectiveness” (2009b: 26). Similarly, the OECD (2008d) indicated that many member countries’ treasuries were using a performance budgeting approach, towards planning and monitoring measurable value for money project results.

2.10.2 Building a Public Performance Culture: from Measurement to Management

Halachmi (2005) found that the way in which a public organisation plans, priori- tises, measures and manages its results-based governance is vital for achieving value and ensuring its longer-term sustainability. The Cranfield School of Management determined in research into the promotion of a performance culture in UK public sector organisations (Micheli & Pavlov 2008: 153), that “the term performance culture can have two connotations”. They set out to explore which results-based governance issues British public sector organisations were currently facing. One of the most significant issues identified was that of the meaning of performance culture, and the actual divide between two quite different understandings of what this term means in practice. The first perspective is what they called a culture of performance measurement when management and staff focus merely on the mechanisms of measuring and comparing results to targets and rankings. If taken to the extreme, this results in “measurement fixa-

tion, striving to met deadlines and statistical criteria imposed by auditors or by national offices” (Micheli & Pavlov 2008: 156). From such a point of view, performance measurement and reporting seemed to be more of a necessary evil, than a useful governance tool.

The second connotation, which they defined as a culture of performance management, related to the strategic budgeting and effective use of relevant results-based data. In this perspective, purposive analysis of data was used in order to attain the agency’s objectives. In their interviews several public managers at various levels mentioned their frustration with “ticking boxes, but not really managing performance” (2008: 156). These managers emphasised the essential link between measurement and actual use of data to improve, motivate and recognise progress. A shared understanding of what the agency was seeking to achieve, was a vital element of “moving towards the culture of performance management” (Micheli & Pavlov 2008: 163).

During the Public Performance Measurement and Reporting Network (PPMRN) conference at the Rutgers University School of Public Affairs and Administration in 2011, Shlomo Mizrahi of the Ben-Gurion University (Israel) proposed a framework for results-based public management based on the Analytic Hierar- chy Process (AHP) methodology, used for ranking the relative importance of each component in the public agency’s activity in terms of relevant effectiveness, rather than mere efficiency. This approach demonstrated how public officials can be integrated into the strategic process of results-based governance (Mizrahi & Yuval 2011).

During the same 2011 PPMRN conference, officials of the British Columbia provincial Ministry of Labour, Citizens’ Services and Open Government presented their Performance Excellence Framework which underlies that Ministry’s results-based tools and reinforces the organisational culture. The Ministry framework (figure 2.6 below) illustrates the four principles which “make performance management a positive experience and assist us all in achieving outstanding results” (British Columbia provincial Ministry of Labour, Citizens’ Services and Open Government 2011).

Performance Excellence Framework

Planning

Recognition OUTSTANDING Development RESULTS

Feedback

Figure 2.6: Source: British Columbia Ministry of Labour, Citizens’ Services and Open Government 2011

2.10.3 Policy and Performance Results Evaluation and Audit

“Carefully designed and implemented performance audits and evaluations can improve people’s welfare and enhance developmental efficiency and effectiveness”, argued Gaarder and Briceno (2010) in their paper reviewing public governance performance monitoring institutions in Mexico, Chile and Colombia. They found that “for a successful institutionalised system for public sector performance audit or programme evaluation, three common factors stood out” (Gaarder & Briceno 2010: 289), namely: “the existence of a democratic system with a vocal opposition, the existence of influential monitoring and evaluation champions to lead the process; and a clear, powerful stakeholder. While all three countries have central state performance M&E institutions, the focus and emphasis of the system should empower officials and political champions to identify adequate arrangements for the particular country context, and understand how to respond to the forces pushing for the creation of performance M&E units and agencies”.

In similar vein, Mackay (2007) described how performance monitoring and evaluation has been applied by the World Bank Independent Evaluation Group (IEG) in diverse countries, including Australia, Chile and Colombia. These IEG lessons have been incorporated into the South African Government-Wide M&E 62

Network (RSA 2007f) and are a significant component of South African results- based public governance methodology.

Lonsdale (2008), Director-General: Performance Audit of the UK National Audit Office (NAO) described how this state audit institution interacts with stakeholders which define the performance audit work of the NAO. His paper considered how the NAO has balanced its professional independence with the need to respond effectively to the performance expectations of stakeholders and government agencies. It concluded that “while independence remains crucial to the credibility of the Value for Money (VFM) auditor, examining the connections with stakeholders helps to explain the hybrid discipline that performance auditing has become” (2008:232). The UK National Audit Office is an illuminating example for South African public governance, because it has been an exemplary institution for British public sector performance audits.

In North America, the Public Performance Measurement & Reporting Network (PPMRN 2011) and the Baldrige Performance Excellence Program (Baldrige 2011) both reflect innovative steps by a wide range of government agencies to adopt and implement strategic planning and budgeting towards performance outputs and outcomes, rather than merely planning and budgeting for events. The Baldrige Quality Award indicators for public sector Performance Excellence are embodied in seven categories, including:

• Leadership Vision and Direction;

• Strategic Planning;

• Customer / Community Focus;

• Measurement, Analysis & Knowledge Management;

• Workforce Focus;

• Operations Focus; and

• Organisational Results.

Figure 2.7 (below) illustrates the conceptual framework for Baldrige Performance Excellence Award organisational assessment:

Baldrige Criteria for Performance Excellence Framework

Figure 2.7 Source: Baldrige Performance Excellence Program 2011

A recent Baldrige Excellence Award public sector recipient was the City of Coral Springs, Florida (City of Coral Springs 2011). King County (2009) in Washington state, though not yet a Baldrige Award recipient, has been working for many years on developing a robust results-based management system (Behn 2012). 2008 was a watershed year in that the county formally codified a strategic planning and performance management framework which applies to all branches of county government. Since 2006, the King County executive branch has put in place a public performance website, AIMS High: Annual Indicators and Measures, that integrates community-level indicators with agency performance measures, and a regular Performance Scorecard, developed with the assistance of public focus groups, which highlights performance measures of most interest to the general public. The King County’s public reporting efforts have twice won the Association of Government Accountants' Certificate of Achievement in Service Efforts and Accomplishments and “have been called best in class by researchers from the IBM Center for the Business of Govern- ment” (Holzer 2011).

The IBM Center for The Business of Government and the USA National Academy of Public Administration (NAPF website 2011) have promoted the use of outcomes budgeting in their Managing for Performance and Results series of research reports. Hatry, Morley, Rossman and Wholey (2003) stated explicitly in

one of these reports that their aim is to provide recommendations which will enable government programme managers to use outcome information to improve their programme results. In terms of US national legislation such as the Government Performance and Results Act of 1993 (GPRA) and the Office of Management and Budget (OMB) regulations of 2002, annual performance and accountability reports and Program Assessment Rating Tools are required to measure service delivery outcomes and policy performance. Another IBM Center report (Hatry & Davies 2011) provided a how-to guide for public leaders and managers, based on federal agencies that use data-driven performance reviews to improve efficiency and effectiveness.

These results-driven public management principles and practices have been strongly supported by the OMB in the Executive Office of the President. In a memorandum to all Departments and Agencies, OMB Director Peter Orszag stated that “rigorous, independent program evaluations can be a key resource in determining whether government programs are achieving their intended outcomes … at the lowest possible cost. Evaluations can help policy makers and agency managers strengthen the design and operation of programs” (United States Executive Office of the President 2010: 2).

The author’s professional observations and practitioner interview findings in Canada, Sweden, North America and Western Europe have indicated that the Institute of Internal Auditors (IIA) values of Honest, Competent Government – the promise of Performance Auditing (Funkhauser 2008) have become accepted and applied as an authoritative performance auditing framework. The potential application of these results-based values are assessed in South African public governance practices in later chapters of this thesis.

2.11 THEME 5: STRATEGIC HUMAN CAPITAL DEVELOPMENT

Which factors affect human motivation and job performance in public agencies? This fundamental question led Caillier (2010) to “develop a theoretical research model to examine public sector job performance, which he subsequently tested on New York State workers”. His findings were clear: “role ambiguity negatively affects employee job performance. State employees reported high performance levels when they believed that agency resources were adequate to fulfil their goals, and individual job performance was highest when employees and unions 65

believed that their agency spent funds efficiently”. Even prior to Caillier, Sims (1992: 336) had emphasised a training environment model for public agencies in which he highlighted the need for securing trade union co-operation in these developmental processes. This is a goal later echoed by Davis (2011) whose study examined the norms and values of public sector labour unions within Perry’s conceptualisation of public service motivation, referred to earlier.

2.11.1 Fit for Business in Public Governance A study of approaches to human resource management in the Australian Public Service (O’Donnell & Shields 2002: 435) reported that fundamental shifts in senior management approaches to employee motivation and commitment to results had become apparent in certain Australian departments. The new approach was based on developing a positive relational psychological contract between departmental strategic vision, values and individual accountability.

Similarly, a wide-ranging study commissioned by the UK-based Chartered Institute for Personnel and Development (Vere & Butler 2007) described the findings in an action-learning consortium of nine British public sector organisations which worked together in 2006-2007 to develop a strategic approach to HR competence development. The authors of the CIPD report found that public organisations were under pressure to provide better services with fewer resources, at a time of increasing expectations from political stakeholders and taxpayers. To make a sustained difference to public organisational results, they emphasised that “these changes must be underpinned by a strong performance culture” (Vere & Butler 2007: 11). HR practitioners therefore needed to work closely with senior line managers to help create a high performance culture. Robinson and Robinson (2008; 2011) concurred with this need for HR and learning professionals to work closely with line management in facilitating transfer of training to ensure on-the-job results.

The OECD has launched a series of Reviews of Human Resource Management in Government, the most recent of which focussed on Brazil (OECD 2010b), providing a diagnosis of the management of government employees with recommendations based on lessons learned in OECD countries. Many of the Brazilian skills development and employee empowerment strategies resonate

with South African public sector skills development issues, which have been assessed and formatively evaluated in chapters 4 and 8 of this thesis.

2.11.2 Public Sector Workforce Planning and Talent Management

A recent USA study indicated that few public agencies have resolved the problem of what they will do when key people retire or otherwise leave their current positions, taking valuable leadership, management and technical expertise with them. It found that “it is critical that such agencies and departments create specific plans to address such manpower gaps and shortages if they are to remain effective in the near and long term” (Rothwell, Alexander & Bernhard 2008: 73). These experienced governance scholars explained that in their survey, sixty-one public sector respondents (63% of the respondents) indicated that they did not have a workforce planning or talent management process (Rothwell & Alexander 2009). They stated unequivocally that these findings are really not surprising. In order to realise this need for Human Resource Devel- opment reform, the World Public Sector Report by the United Nations Department of Economic and Social Affairs (UNDESA 2005: 7) made recommendations for “consideration by governments in developing countries and transition economies, including:

• Professionalising HRM: towards strategic specialisation Human Resource practitioners should not be confined to playing a restricted, bureaucratic and reactive role. Instead, they should have input into strategies about staff development and results-based management.

• Merit appointment: the best person for the job Appointment on merit is one of the most powerful, yet simplest, ways in which governments can improve their effectiveness. A competence-oriented and career-based public service is decisive in service quality.

• Remuneration: balancing motivation, equity and ability to pay Adequate pay is a key component in improving and sustaining the motivation, performance and integrity of public servants. Such a policy should attract and retain competent, high performing people.

• Performance development: supporting and developing staff Governments need to instil results-based orientation among public servants.

Managers are responsible for their staff performance, and they need to set objectives, monitor staff performance, give support and feedback.”

These World Public Sector Report (UNDESA 2005) recommendations succinctly address the seven challenges to effective organisational performance management which were identified earlier in this chapter. Within the five broad themes synthesised above, these challenges inform the author’s development of a multi-dimensional public performance model, relevant to the emerging South African public governance context.

2.12 CONCLUSION: AN AFRICAN PUBLIC PERFORMANCE MODEL

In this chapter, a cross-national range of exemplary results-based management and public governance themes has been reviewed and analysed, with the ultimate purpose of assessing their relevance to the South African constitutional democratic culture and expectations of equity and effectiveness in developmental public governance results. In later chapters, their synthesis into an original public performance model seeks to identify which factors have optimal potential for the transformation of cost-effective public governance in the Cape Town City-region of the new South African society.

Derived from broadly consistent cross-national constructs and findings in scholarly literature and from interviews with experienced public governance practitioners, the five results-based governance themes support the view that government jurisdictions which seek to produce consistent results cannot simply use accountability pressure to coerce competence. As Behn of the Kennedy School of Government argued: “If they want better performance, they need to develop the operational capacity to produce it” (Behn 2010: 1).

Based on the pragmatic cross-national themes in results-based public governance qualitatively reviewed in this chapter, an original public performance model has been developed by the author, to facilitate critical analysis of South African national and Cape Town City-region developmental governance policies, institutions and managerial practices. The building blocks in this original public performance model are:

• Strategic Vision & Mission which sets direction and inspires action; • Accountability and consequences for clearly defined results; • Financial alignment of resources with mission, risks and outcomes; • Recognition and reinforcement of effective governance results; • Investment in people, to develop technical & managerial capacity; • Community engagement for democratic empowerment; and • Accessible data & evidence for planning, monitoring & evaluation. These S-A-F-R-I-C-A model criteria are depicted in Figure 2.8 below: a fit for purpose design, based on the well-grounded public governance foundations of a shared strategic vision and mission, with clear accountability for results, and a resilient architecture of effective resource management and maintenance.

Public Performance Model for Results-Based Developmental Governance

Community Engagement Accessible Data & Evidence

Building Recognition & Blocks Financial reinforcement Investment in Alignment of Results People

Accountability & Foundations Strategic Vision & Mission Consequences

Figure 2.8: The S-A-F-R-I-C-A Public Performance Model

The developmental vision and equitable values of the Constitution (RSA 1996a) reflected the high citizen expectations and interpretations of political slogans, such as a better life for all, the opportunity society, and we deliver for all. How well-defined and sustainably implemented a results-based developmental governance regulatory framework and culture has been designed, implemented and institutionalised in the national and city-regional governance contexts is analysed and formatively evaluated in subsequent chapters, within the purposive architecture of this S-A-F-R-I-C-A public performance model.

CHAPTER 3

SOUTH AFRICAN DEVELOPMENTAL DYNAMICS: GOVERNANCE PRIORITIES AND MANAGEMENT CAPACITY

3.1 INTRODUCTION: CONTEXTUALISING THE DEMOCRATIC DEVELOPMENTAL STATE IN SOUTH AFRICA The intent of this chapter is to explore the results-based contextual discourse of South Africa’s emerging developmental state, with a particular focus on the nature and scope of the “constitutional principles of co-operative government and intergovernmental relations” (RSA 1996a:25). The developmental interplay between the three interdependent spheres of government is assessed, illustrating the complexity of decentralisation, urbanisation and the influence of management capacity and competence on results-based public governance. Democratisation and sustainable development are modern concepts with local, national and global dimensions. Although relatively new in the context of world history, these concepts have influenced worldwide governance discourse by creating “a certain utopia of the 21st Century”, argued Ijeoma (2010: 1). In his overview of the theories of sustainable development, Roxborough (1979) highlighted how nations in East Asia rapidly industrialised and achieved a concomitant rise in social change and living standards, through interventionist socio- economic developmental transformation (1979: 23). Edigheji (2010) pointed out that the socio-economic success of the Asian nation-states has focussed attention on the concept of the strong developmental state; and commented that “it is therefore no surprise that countries like South Africa want to locate their developmental framework within this rubric” (Edigheji 2010:3).

The Republic of South Africa covers an area of 1 221 000 square kilometres, with a population of 47 851 000 and a Gross Domestic Product of US$ 283,4 billion (OECD Observer 2009b). With nine provinces, eleven official languages and diverse climatic and cultural regions, the country’s motto (in a twelfth indigenous language on the national coat of arms) signifies the heterogeneous public governance vision of a people united in diversity. Within the socio-

economic developmental diversity of a middle-income nation in the making, the intent of this chapter is to review the constitutional governance and urban development heritage, goals and indicators facing the post-1994 South African nation-state, in order to contextualise national and city-regional analyses of results-based public governance progress which follow in subsequent chapters.

Contrasting features distinguish South African public governance and development from Asia and the rest of Sub-Saharan Africa, argued Moeletsi Mbeki (2009: 63) in his study of African Capitalism. Firstly, he argued that “South Africa does not have a peasant social class; and secondly that its modern manufacturing and mining private sector is owned mainly by South African corporations, one of the unintended consequences of economic sanctions and anti-apartheid disinvestment campaigns”. Mbeki pointed out how centralised the economic resources and power are in the country, largely as a legacy of major financial and mining sector corporates and state-owned enterprises which dominate the steel, energy and telecommunications sectors.

The South African developmental discourse is typically fuelled by the constitutional complexities inherent in objectively evaluating democratic governance policies and socio-economic strategies which will optimise sustainable development results. This is especially necessary in “closing the seemingly intractable socio-economic inequalities in South African society”(OECD 2010c).

These societal inequalities are not readily evident in the composite How’s Life? opinion survey of citizens in OECD member and associate countries (OECD 2011a), in which South Africans are reported to have a median lifestyle satisfaction rating similar to Finns, Germans, Chileans and Slovaks (depicted graphically in Figure 3.1 below).

“How are you feeling today?”

Percentage of people reporting more positive than negative emotion in one typical day, 2010

Figure 3.1: Source: OECD calculations based on Gallup World Poll (OECD 2011a)

According to the World Economic Forum (2010) Global Competitiveness Report, South Africa has performed relatively well in the context of global development economics. The national economy was rated the highest growth in Africa and the 45th most competitive out of 134 countries. Furthermore, South Africa was rated 5th place overall with regard to trust in its banking system, 5th for accountability of private institutions; and the 4th most favoured site for investment amongst sixty-six emerging markets.

Southall (2010: 17), however, argued that the country “could be on the verge of a long-term descent towards mediocrity”, largely because of ineffective human development and governance, both political and economic. South Africa has slipped in terms of international rankings concerning corruption (55th of 180 rated by the World Economic Forum in 2009, one place lower than a year earlier) and 133rd with regard to the business costs of crime, “given declining public confidence in the ability of the criminal justice system to provide adequate protection”.

These public governance confidence factors have led to the launch of the Council for the Advancement of the South African Constitution (CASAC), an NGO comprising “progressive people who want to advance the South African Constitution as a platform for democratic politics and the transformation of

society” (Pityana 2010:1). According to its Executive Secretary, CASAC seeks to “encourage debate on how best to build a just and equal society, in which people can live securely with dignity” (Naidoo L 2011).

3.2 CO-OPERATIVE GOVERNMENT: DEVELOPMENTAL RESULTS?

The South African sub-national developmental public governance review in this chapter is partially derived from a country paper by Sewell and Williamson (2009), within an analytical report commissioned for the Italian Ministry of Foreign Affairs Sub-Saharan Africa Division, entitled The Contribution of Decentralised Governance to Development and Peace in Sub-Saharan Africa. The formative findings reflected in this chapter indicate that South Africa’s public governance decentralisation to sub-national spheres thus far has been largely state-centric, which has minimised effective civil society support, social cohesion, democratisation and community-driven development. The South African constitutional framework for co-operative government and institutional accountability comprises a complex mix of devolution, delegation and deconcentration of powers to the provincial and municipal spheres. This institutional complexity is depicted in the extract from Chapter 3 of the national Constitution (RSA 1996a:25); and in Figure 3.2 below.

Extract from Constitution Chapter 3: Co-operative Government “ 41. Principles of co-operative intergovernmental relations 1. All spheres of government and all organs of state within each sphere must: a. preserve the peace, national unity and the indivisibility of the Republic; b. secure the well-being of the people of the Republic; c. provide effective, transparent, accountable and coherent government for the Republic as a whole; d. be loyal to the Constitution, the Republic and its people; e. respect the constitutional status, institutions, powers and functions of government in the other spheres; f. not assume any power or function except those conferred on them in terms of the Constitution;

g. exercise their powers and perform their functions in a manner that does not encroach on the geographical, functional or institutional integrity of government in another sphere; and h. co-operate with one another in mutual trust and good faith.”

“Structure and functions of South African Government spheres”

Legislative authority Executive authority Judicial authority

Parliament Cabinet Constitutional Court Supreme Court of Appeal • National Assembly • President High Courts (350-400 members) • Deputy President Magistrates’ Courts

• National Council of Provinces • Ministers 90 delegates

Deputy Ministers Judicial Services Commission

State institutions supporting democracy

Provincial governments Public Protector Human Rights Commission Commission for the Promotion and Protection of the Rights of Eastern Cape Cultural, Religious and Linguistic Communities Northern Cape Commission for Gender Equality Auditor-General Western Cape Independent Communications Authority of South Africa Limpopo

KwaZulu-Natal Legislative Authority Executive Authority North West Free State Provincial Legislature Executive Council Gauteng • Premier Mpumalanga • Members of the Executive Council (MECs)

Municipalities / Municipal Councils (Metropolitan Councils / District Councils / Local Councils)

Figure 3.2: Source: SA Yearbook 2009/10: RSA 2010c

3.3 GOALS OF THE DEVELOPMENTAL STATE IN SOUTH AFRICA

“Is South Africa headed for a deformed realisation of the developmental state?” asked Kondlo and Maserumule (2010: 6); suggesting that this was “a valid question, given the absence of the combination of conditions critical to the realisation of a functional developmental state” (2010:6). They pointed out that such necessary conditions include an experienced, efficient bureaucracy which can deliver on its mandate. They argued that thus far, South African public policy direction and implementation seemed not to have found governance coherence and refinement. In practice, the South African national government, when devolving power and accountability to provinces and cities for results-based public governance, has tended to do so unilaterally. In contrast to the state- centric approach, the alternative of community-oriented results-based governance decentralisation “fosters partnerships between civil society and local government, creating a far more participative process that… enhances the democratic quality of local government” (Galvin & Habib 2003: 882).

Addressing the Development Bank of Southern Africa (DBSA) 3rd Develop- mental State Conference, analyst William Gumede (2009b) pointed out that “South Africa is one of the most unequal societies in the world; and that inequality of income is spread mostly along racial lines, which is in itself a potential source of political instability”. Compared with the relatively equitable baseline for development in many East Asian states, which could unite communities in the governance of their developmental programmes, Gumede expressed concern that “relative deprivation in South Africa could become the trigger to a popular insistence on redistributive growth and social justice” (Gumede 2009a: 29). In doing so, Gumede echoed Bhorat and Kanbur (2006), in their wide-ranging study of “poverty and policy in post-apartheid South Africa”. They found overwhelming evidence that income poverty has increased; and that “the significant driver of income inequality continues to be the rising inequality amongst African households” (2006: 4, 5, 13). This growth-poverty- inequality nexus, they warned, has a significant relevance for South Africa’s socio-economic development and stability. With this nexus in mind, the public governance aspirations and achievements nationally and in the Cape Town

City-region towards equitable service provision and closing the developmental gap, are assessed and analysed in this thesis.

During the DBSA Developmental State conference in Pretoria, Gumede (2009c) cogently argued that “at the core of any successful developmental state is the state itself: efficient, well co-ordinated and staffed with skilled and committed employees”. Analysing the common characteristics of the East Asian developmental states cited by the Report on Economic Development in Africa (UNCTAD 2007), Gumede concluded that “a successful developmental state requires political will, long-term vision and a determination by the country’s leadership to drive a national development and modernisation project” (2009c).

“In South Africa’s case”, reflected Gumede, “it has motivation enough: if it does not develop its majority poor – those in the so-called second economy - its democracy is in peril” (2009b: 20). In his view, “there needs to be a national consensus to industrialise in the shortest time, not only within the governing party itself, but amongst the broadest sections of society”. He pointed out that the apartheid developmental state created effective development agencies including the Industrial Development Corporation (IDC), Land Bank and the Development Bank of Southern Africa (DBSA). A key public governance challenge now, he argued, is “to use these agencies innovatively in fashioning a new developmental state that is democratic, non-racial; and which can deliver a better life to all South Africa’s people” (Gumede 2009b: 16). The institutional capacity of the state is, however, more than merely a checklist of appropriate skills. It aggregates many factors, including how governance policies and strategies are felt by ordinary citizens; effective engagement and participation in decision-making; and a rational bureaucracy which is cost-effective in the delivery of public goods, relevant to the needs of citizens. The institutional capacity of the state is therefore crucial to democratic, results-based development.

Strengthening African Governance (Rotberg & Gisselquist 2009), a research study under the joint auspices of the Harvard University Kennedy School of Government and The World Peace Foundation, declared that “all citizens of all countries desire to be governed well; that is what citizens want from the nation- states in which they live” (2009: 7). Nation-states in the modern world manage

the governance of essential public services for their citizens. These factors were rated in the Strengthening African Governance (2009: 13) Index of African Governance (subsequently renamed the Ibrahim Index of African Governance) in five categories; each with sub-categories and developmental indicators, as shown in table 3.1 below (2009: 13):

“DETAILED STRUCTURE OF THE INDEX OF AFRICAN GOVERNANCE” Category Sub-Category Indicators I. 1. National Security - Government involvement in armed conflicts SAFETY AND - Number of battle deaths SECURITY - Number of civilian deaths due to one-sided violence - Refugees and asylum-seekers originating from the country - Internally displaced people - Ease of access to small arms and light weapons. 2. Public Safety - Level of violent crime (Homicide rate) II. 1. Ratification of - Ratification of Core International Human Rights RULE OF LAW, Critical Legal Convention TRANSPARENCY Norms - International Sanctions AND - Property Rights CORRUPTION 2. Judicial - Judicial Independence Independence - Efficiency of the Courts, based on the Pre-Trial and Efficiency Detainees - Number of Days to Settle a Contract Dispute 3. Corruption - Public Sector Corruption III. 1. Participation in - Free and Fair Executive Elections PARTICIPATION Elections - Opposition Participation in Executive Elections AND HUMAN - Free and Fair Legislative Elections RIGHTS - Opposition Participation in Legislative Elections

2. Respect for Civil - Respect for Physical Integrity Rights and Political - Respect for Civil Rights Rights - Press Freedom Women’s Economic Rights

Women’s Rights Women’s Political Rights

Women’s Social Rights

IV. 1. Wealth Creation - GDP per Capita (Purchasing Power Parity) SUSTAINABLE - GDP per Capita Growth ECONOMIC 2. Macroeconomic - Inflation OPPORTUNITY Stability and - Government Surplus/Deficits as a Percentage Financial of GDP Integrity - Reliability of Financial Institutions (Contract Intensive Money) - Business Environment (Number of Days to Start a Business)

“DETAILED STRUCTURE OF THE INDEX OF AFRICAN GOVERNANCE” Category Sub-Category Indicators 3. The Arteries of - Density of Paved Road Network Commerce - Electricity Installed Capacity per Capita - Phone Subscribers per 100 Inhabitants - Internet Usage per 100 Inhabitants V. 1. Poverty - Poverty Rate at the National Poverty Line HUMAN - Poverty Rate at the International Poverty Line DEVELOPMENT - Inequality (Gini Index) 2. Health and - Life Expectancy at Birth Sanitation - Child Mortality / Maternal Mortality - Undernourishment - Immunisation Rate for Measles, Diphtheria, Pertussis and Tetanus (DPT) - HIV Prevalence - Incidence of Tuberculosis - Physicians per 1000 people - Nursing and Midwifery Personnel per 1000 people - Access to improved sanitation - Access to Drinking Water. 3. Education - Adult Literacy Rate - Adult Literacy Rate, Female - Primary School Completion Rate - Primary School Completion Rate, Female - Progression to Secondary School - Ratio of Girls to Boys in Primary and Secondary School - Pupil-Teacher Ratio

Table 3.1: Source: Rotberg & Gisselquist 2009:13-14

The 2009 African Governance Index rated the degree to which each of these five categories of public governance was effective, within 53 member countries of the African Union (AU). The 2009 African Governance Index rankings and developmental indicators for South Africa’s public governance performance effectiveness indicated a relative decline during the years 2000 to 2007 in comparative national governance standards. South Africa’s governance rating declined from 7th position in 2000 and 2002, to 8th in 2005; and 9th in 2007 (reflected in the Index Report published in 2009), with an overall governance rating of 68.4%. Within the range of five African Governance Index categories, South Africa was rated 82.0% for Participation and Human Rights, but only 61.1% for Safety and Security and 56.1% for Sustainable Economic Opportunity. Relevant problematic public governance issues and management implications at national, provincial and city-regional levels are analysed within later chapters of this thesis. 78

Salutary reminders of pre-1994 South African city-regional governance policies and institutions are apposite, in defining the inherited challenges of the 1996 Constitutional vision, values and institutions. The apartheid policy of localised racial segregation had been widened to a regionally segregated governance framework, after the banning of the increasingly militant liberation movements and the declaration of the Republic of South Africa in 1961. National homelands began to be consolidated for indigenous tribal groups, with the developmental vision that each homeland would ultimately opt to become an independent country. The implication of this policy was that black South Africans would become citizens of their designated tribal homeland country.

Within most of these largely rural homelands, local government structures were created for basic municipal services. Traditional leaders were co-opted into lending their support to the homelands system, by accepting the remuneration and trappings of authority. Some traditional leaders therefore became seen as part of the oppressive apartheid system and thus lost much of their former community legitimacy. As constitutional negotiations gained momentum in 1992, there were 638 599 public servants in the homelands, some 16% of their economically active populations; compared with the total of 349 832 officials in the former white South Africa bureaucracy, including national, provincial and local levels (Chipkin & Meny-Gibert 2011: 5). The heritage of fragmented public administrations and lack of technical and managerial competence of many officials subsequently merged into the post-1994 public service machinery, has tended to hamper developmental governance institutions and aspirations.

In the white South Africa urban territory, black township residents were serviced by Urban Bantu Councils subservient to the parent white municipality. These Councils gained little credibility from township residents, in the face of ongoing resistance campaigns. After the adoption of the third South African Constitution (RSA 1983) which affirmed the policy of independent tribal homelands and created a Tricameral Parliament in which black Africans would have no representation, widespread civil disobedience campaigns gathered momentum, with international support for the theme that apartheid could not be reformed; the system needed to be abolished completely. Significant elements of the 1980s resistance culture remain evident in historically disadvantaged urban communi-

ties today, sometimes flaring up into violent demonstrations of frustration at perceptions of broken political promises or incompetent local government agencies. Numbers of South Africans have been part of such insurrectionary behaviour, according to Fakir (2009: 11) in a DBSA Working Paper on Govern- ance. One questions, therefore, whether current South African public governance processes have yet achieved effective levels of community participation and trust required for sustainable developmental results.

The Constitution (RSA 1996a) specifies several “functional areas of concurrent national and provincial legislative competence”; including a comprehensive range of local government matters which national and provincial government are concurrently empowered to monitor and regulate. These powers include “the legislative and executive authority to see to the effective performance by municipalities of their functions, regulating the exercise by municipalities of their executive authority”.

Local Government constitutional competencies National & Provincial Government regulatory powers

Figure 3.3: Source: De Visser 2005: 135

This concept of concurrent powers illustrated in Figure 3.3 above was a compromise between the negotiating parties, some of whom favoured a unitary state and others who sought a federal constitution as a means of minimising conflict between the diverse cultural, ethnic and language groups in the country (Steytler & Mettler 2001). Interpretation and implementation of the common national and provincial competencies over local government has been described as “the curse of common competencies” (Steytler 2003:7) and “the strangulation of local government” (University of the Western Cape Community Law Centre 2008: 1).

In 1998 the South African national cabinet adopted the policy concept of developmental local government in a White Paper on Local Government, (RSA 1998b) which translated the objects of Constitutional Sections 152 and 153 into the core mandate of local governance, defined as: “local government committed to working with citizens and groups within the community, to find sustainable ways to meet their social, economic and material needs and to improve the quality of their lives” (RSA 1998b: 23).

Also relevant in delineating the normative implications of city-regional public governance institutions, is the Constitution Chapter 7 establishment of three discrete categories of Municipality; though all three are subject to national and provincial government regulatory supervision (RSA 1996a: 82) namely:

“Category A: Metropolitan Municipality

A municipality that has exclusive municipal executive and legislative authority.

Category B: Local Municipality

A municipality that shares municipal executive and legislative authority in its area with a category C municipality within whose area it falls.

Category C: District Municipality

A municipality that has municipal executive and legislative authority in an area that includes more than one local municipality”.

It is significant to note the opinion of the South African Constitutional Court, when certifying the 1996 Constitution in terms of the principles previously agreed by the main negotiating parties for the 1993 Interim Constitution, that

“…local government structures are given more autonomy in the new text than they were in the Interim Constitution… at the expense of national parliament and the provincial legislatures. There is a corresponding diminution of the powers in respect of local government, of both the national and provincial legislatures” (Certification of the Constitution of the Republic of South Africa 1996: paragraph 364).

De Visser (2005) highlighted that it is also significant that the category of District Municipalities and the concept of shared powers were born in the four weeks between the Constitutional Court’s first certification judgement and the adoption of the final text by the Constitutional Assembly. When the National Assembly’s Portfolio Committee on Local Government undertook a study tour to review the effectiveness of local government transformation, it reflected the complexity, concluding that the issue of shared powers was “perhaps the most challenging issue we had to deal with in the study tour” (Parliament of the RSA 2003: 9).

3.3.1 Local governance institutionalisation and integration

In evaluating the evidence of developmental governance progress and significant change since 1994, it can justifiably be said that South Africa has become a functioning and inclusive democracy in a relatively short time; and that the institutions of public governance have gained support and legitimacy among citizens than would have seemed impossible at that turbulent time.

As democratisation proceeded, however, new arenas of public governance transformation emerged. One such significant challenge was that of effectively integrating some 1300 fragmented race-based local authorities which were in existence in the early 1990s. To transform the fundamentals of decentralised public governance, these were systematically reduced by the year 2000 to 284 desegregated municipalities; including 6 Metropolitan, 46 District and 232 Local Municipalities. Integration of the previously segregated local authorities was undertaken in three phases (called the Pre-Interim, Interim and Final phases) from 1993 to 2000, by when a significant suite of new national legislation, including Municipal Demarcation, Structures, Systems and Finance Management Acts (RSA 1998h; 1998g; 2000a; 2003b) were promulgated, to be supervised by the nine provincial governments; as well as by the national Department of Provincial and Local Government. 82

The scale and intensity of this decentralised governance integration and reform process is illustrated by the example of the Cape Town metropolis, within which 64 racially segregated local authorities were integrated in the three phases, ultimately consolidating into what is now the City of Cape Town Metropolitan (Category A) Municipality. This single political institution has an elected Council of 221 members, a staff of over 24 000, serving a multi-cultural population of about 3,7 million residents. The author’s experience as a process negotiator within this three-phase process of community consultation, redemarcation of boundaries and employer body/trade union negotiations, provided in-depth insights to the transformation fatigue of the officials and politicians who were involved in the Cape Town City-regional administrative reform processes.

Local Government elections within the current municipal boundaries have been held in 1995/96, 2000, 2006 and 2011; with an overall percentage poll reported by the Electoral Commission of 49%, 48%, 48% and 57% respectively; ranging in 2011 from 50% in the rural Limpopo province, to 64% in the more developed and hotly contested Western Cape province (Electoral Commission 2011).

Significantly, however, much higher percentage polls have been reflected in national and provincial elections; namely 87% in 1999, 76% in 2004 and 77% in 2009. The Electoral Commission (IEC) field research (Electoral Commission 2005) has linked the relatively low participation in municipal elections to a general public mistrust of local politicians; and doubts about the competence of local government to develop essential service delivery. The IEC survey asked respondents to indicate the extent to which they were satisfied with the institutions (national, provincial and local government) in South Africa. National government was rated most favourably, with 64% of citizens satisfied or strongly satisfied; whereas the sub-national governance satisfaction ratings were 53% for provincial and only 43% for local government.

3.4 DEGREES AND TYPES OF DECENTRALISATION IN RESULTS- BASED DEVELOPMENTAL GOVERNANCE

“The developmental state means different things to different interest groups, at different timelines, within the same country”, as the DDG: Organisation Development in the national Department of Public Service and Administration 83

emphasised (Clarke 2011). In her opinion these differences are usually with reference to existing theoretical generalisations responding to what is currently in vogue, “often as a response to a perceived democratic deficit” (2011).

Whether South African developmental public governance is perceived as achieving sustainable results, arises largely from the conceptual and operational interpretations around the concepts of decentralisation and development. As table 3.2 below (Sewell & Williamson 2009: 7) indicates, “there are degrees and types of public governance decentralisation. The results-based governance conundrum is one of achieving cost-effective balance, appropriate to the context and capacity of sub-national goals, systems and institutions”.

“Degrees and Types of decentralisation”

Devolution Refers to the increased reliance upon sub-national levels of elected government, with some degree of political autonomy, that are substantially outside direct central government control, while subject to general policies and laws. Deconcentration Refers to the transfer of power to an administrative unit of the central government at the regional office level. Local officials are typically not elected but appointed. This is considered to be a limited form of decentralisation, since the national government retains control over resources and priorities. Delegation Refers to the transfer of managerial responsibility for a specifically defined function outside the usual central government structure. It is generally considered the weakest form of decentralisation. Political Refers to the transfer of political authority to the local level through the establishment of elected local government, electoral reform, political party reform, authorization of participatory processes, and other reforms Administrative Refers to the full or partial transfer of functional responsibilities to the local level (e.g. health care services, operation of schools, building and maintenance of roads, and garbage collection). Fiscal/Financial Refers to the transfer of financial authority to the local level. It involves reducing conditions on the inter-governmental transfer of resources and giving local jurisdictions greater authority to generate their own revenue. Table 3.2: Source: Sewell & Williamson 2009:7

Relevant illustrations of the South African constitutional decentralised governance powers and developmental functions include inter alia:

3.4.1 Devolution Local government, in the South African constitutional context, is an example of devolution of powers and functions to all three categories of municipalities – though within the fiscal and regulatory constraints of national and provincial legislation and a need for financial support mechanisms. Few municipalities (apart from major Metropolitan municipalities such as Johannesburg, eThekweni and Cape Town) have the necessary fiscal and managerial resources for effective devolution. Most rely heavily on Treasury grants, as well as technical and managerial capacity support. “A municipality’s right to impose taxes on property and surcharges on service fees is constitutionally guaranteed, though this may only be exercised within national legislation”. This constitutionally protected income source accounts for about 50% of local government income (Steytler 2003). A recent report by the City of Cape Town metropolitan municipality indicated that the City was largely self-funded, generating 86% of its revenue from its own sources in 2008; of which 25% was from property taxes and a similar proportion from electricity distribution charges (City of Cape Town 2009j). Widespread objections were raised at the intention of national government to promote a Constitutional amendment to remove electricity reticulation from municipalities; and thus remove this source of income, used to cross- subsidise the costs of other local developmental services and to create Regional Electricity Distributors, under national control.

Many local municipalities - and even some metropolitan municipalities - do not have an adequate property tax base and lack the financial and technical management skills to ensure that their billing systems and credit controls are effectively implemented. This has been confirmed by a Municipal Management Skills Audit; commissioned nationally in 2008 by the Department of Provincial and Local Government (Greyling 2010) and by the SALGA Chairperson and Johannesburg Executive Mayor (Masondo 2009). Even the City of Johannesburg, the major economic hub of South Africa, had been reported as having a bad debt provision of some R7,3 billion for unpaid property taxes and service charges, which would need to be written off (Centre for Development

and Enterprise 2002). Similar reports of chronic non-payment and ineffective municipal debt management are not unusual; and the threats of civil unrest and violent demonstrations when unpaid basic municipal services are cut off, pose a challenge to sustainable, cost-effective urban developmental governance.

Further, as Makgetla (2007) pointed out, “local government funding has not and did not support the redistribution needed to overcome the spatial poverty gap created under apartheid” (2007: 9). This is so, she argued, because of the very replication of the policy that local government revenues would be raised from the rates and taxes of the local inhabitants. As a result, the former rural homeland areas, already destitute with high unemployment rates, remain in a cycle of poverty because of the fact that they could not pay for such basic services and infrastructure. Their local governments therefore will probably never have sufficient revenue to resolve the inherited developmental backlogs.

3.4.2 Deconcentration Administrative units of several South African national departments are deconcentrated throughout all provinces, and also in several city-regions or district municipalities, for local service provision and policy control. Examples include the national Departments of Justice, Water Affairs and Forestry, Home Affairs (population register, identity documents and passports), Labour, SA Revenue Services (tax, customs and excise), and the South African Social Security Agency (SASSA), which disburses national social welfare grants. A national project of building and staffing 96 deconcentrated Multi-Purpose Community Centres (now called Thusong Service Centres) is in progress, with the stated aim of creating a joint Service Centre in every local municipality by 2014 to provide joint, decentralised national and provincial government services closer to local communities. For the same purpose, the Department of Public Service and Administration initiated a programme of Community Development Workers (CDWs), trained and employed by provincial governments but deployed within municipalities, to empower disadvantaged communities to access basic services from all three spheres of government (Majiet 2009).

3.4.3 Delegation

Constitutionally, South African provincial government departments exercise delegated national departmental authority in their jurisdictions, through elected 86

Provincial Legislatures and Executive Councils. Provincial departments of Health, Social Development and Basic Education, for example, must function within the relevant national legislation and departmental policies, and they rely on National Treasury transfers for about 90% of their revenue, as “the nine Provincial Treasuries have a limited revenue base; they may not generate their own revenue through income tax, general sales tax, property taxes or customs duties” (Stegmann 2011).

Provincial Members of Executive Councils (MECs) meet regularly with the respective national Minister in MinMEC strategic policy conferences, to co- ordinate implementation of their delegated provincial portfolios, within national policies and programmes. An example of nationally controlled delegation is that every provincial Department of Community Safety nominally exercises civilian oversight over the South African Police Services in the province – but the Provincial Police Commissioner is a national appointment, accountable to the National Police Commissioner and thus to the national Minister and is not accountable to the Provincial MEC for Community Safety (Botha 2011).

Provincial government officials are employed by the national Public Service, in terms of national contractual conditions of remuneration, administered by the national Department of Public Service and Administration (DPSA). The quality and compliance of provincial governance “is monitored and evaluated by the national Public Service Commission” (RSA 1996a: Section 196: 108) and the Auditor-General (RSA 1996a Section 188: 103), both of which are statutory bodies accountable to the national Parliament. This bureaucracy tends to ensure that public service employees, both provincial and national, identify with the policies and priorities of their employer, the central state. Local governments currently employ their own staff, but national proposals have been made for a Single Public Service, incorporating municipal staff in the identical employment contractual obligations and service conditions as national and provincial officials (Clarke 2011).

3.4.4 Political Political decentralisation to the provincial and local spheres is evident in the national Constitution (RSA 1996a), though sometimes made complex by the political compromises reached during the constitutional negotiations. All three

spheres have elected political representative bodies which are constitutionally mandated to legislate and execute policy within the national legislation framework, but subject to the subsidiarity of sub-national legislatures and executives to the national sphere. Local government decentralisation polity has a number of national Acts of Parliament which define all Municipal Structures, Systems, Property Rates, Financial Management and Intergovernmental Relations requirements. The two-tier political and administrative system of District and Local municipalities, in contrast with the single tier model of politically integrated Metropolitan municipal governance (RSA 1998b), leads in practice to governance and administrative conflict, as the defined role of the District municipality in facilitating development co-ordination and providing capacity-building for Local Municipalities often causes resentment and power struggles, especially when different political parties govern at the Local and District municipal levels.

The University of the Western Cape Community Law Centre has done considerable research in this area (Steytler, Fessha & Kirby 2005), concluding that the overlap of political and administrative powers between District and Local municipalities in the same geographic areas often causes conflict. The Intergovernmental Relations Framework Act (RSA 2005a) established District Intergovernmental Forums, aimed at managing these political relationships, to minimise the ongoing decentralised conflicts between spheres.

3.4.5 Administrative As was noted in the Constitutional references above, the powers and functions of South African local government were defined in Schedules 4 and 5 of the Constitution (RSA 1996a) – specifically under the headings of Functional Areas of Concurrent National and Provincial Competence (Schedule 4B) and Functional Areas of Exclusive Provincial Competence (Schedule 5B). In practice most of the developmental functions are exercised by local government – but always subject to administrative regulation and possible intervention by the national or provincial administration.

A Provincial MEC for Local Government, on the advice of the national Municipal Demarcation Board and provincial administration officials, is statutorily mandated to take over the administration of a municipality when in the MEC’s judgement that municipality fails to carry out its administrative functions

effectively. Amongst several recent research papers into the perceived correla- tion between local conflicts and lack of administrative capacity of municipal governance, the Centre for the Study of Violence and Conflict Resolution (CSVR) published findings into responsive and responsible policy formulation and implementation in South Africa (Tadesse & Smith 2005). This CSVR report indicated that poor urban service delivery had led to community unrest and grassroots dissatisfaction; and stated that this poses a great challenge to decentralised governance processes in South Africa.

Within the context of public policy formulation and implementation, the CSVR report further identified the lack of effective involvement of civil society organisations in mobilising local communities, as a means of articulating the communities’ needs to unresponsive local councillors and officials. The CSVR report recommended that existing public policy formulation and public governance processes need to be reviewed, with the aim of “bridging the gap between central policy makers and the marginalised people that these national policies impact on”; and concluded that “the need for more effective community- based governance decentralisation remains paramount in creating a vibrant democratic society which reflects social justice as a national value” (Tadesse & Smith 2005: 63).

Acknowledging this pressing need for strengthening the administrative competence of many municipalities, while at the same time moving towards a representative demographic profile of the local community, the national Department of Provincial and Local Government undertook a skills audit of senior municipal management in all provinces, in order to assess competence levels against recommended national standards; and to introduce skills development support programmes, for identified technical or managerial skills gaps. This municipal skills audit was initiated in 2008 in consultation with the South African Local Government Association (SALGA), the Local Government Sector Education and Training Authority (LGSETA) and the two main municipal trade unions. Process consultations with the relevant provincial departments and major municipalities were not always conducive to optimal decentralised governance co-operation, as reflected in confidential interviews in February 2009 with senior PGWC and City of Cape Town political leaders and officials.

The skills audit and municipal functionality studies were continued in a national programme during 2011 in order to enhance their validity. Nonetheless, the broad findings of the Western Cape Municipalities Skills Audit Report (RSA 2008c) do highlight the significance of the skills development and talent management constraints to effective results-based municipal management in all provinces, given that the Western Cape has one of the highest education and skills profiles in South Africa (Bredell 2012).

The Western Cape Municipalities Skills Audit Report (RSA 2008c) conclusions demonstrated that the municipalities in this province were performing at an intermediate level (rated 2.0 out of a possible 4.0); and that the overall rating on core management competences (including Financial Management, People and Diversity and Client Orientation) was below the expected benchmark, with 63,7% of senior managers at only a basic level of Financial Management competence; 60,6% at a basic level of Strategic Leadership; and 51,5% at a basic level of Project Management. These identified competence gaps correlated closely with other findings linking community protests over lack of local socio-economic development and basic services, with ineffective results- based urban public governance, endemic lack of technical skills and project management competence.

3.4.6 Fiscal and Financial Fiscal decentralisation in South Africa involves reallocating certain national developmental responsibilities for revenue and expenditure to sub-national spheres of government. A central priority of all three spheres of South African government, as set out in the Bill of Rights (RSA 1996a), is “to ensure the provision of services to meet socio-economic challenges, within the constraints of available resources: financial, material and human”. Effective provision of “services which meet the basic needs of citizens and improve their socio- economic conditions needs to be set in a framework of pro-poor policies. Implementation has to be costed, budgeted and prioritised through equitable resource allocation in all three spheres of government” (Gordhan 2011).

South African city-regional society in the first decades of the 21st Century remains characterised by a heritage of racial inequality, significant socio- economic backlogs and underservicing across social groups. One of the major

challenges that Treasury faces, therefore, is how best to distribute national revenues, with a view to promoting social equity and poverty reduction. “The South African intergovernmental fiscal system was designed to address this challenge through the National Treasury equitable share funding of functions allocated to each sphere of government, related to capacity and priority needs”. (Stegmann 2011). Despite much socio-economic developmental progress since liberation in 1994, most South Africans face rising levels of poverty and unemployment, increased living costs and high rates of mortality. “The ability of the country’s fiscal decentralisation system to focus basic service delivery enhancement on vulnerable urban communities is therefore open to question”.

During the initial decades of inclusive democracy, South Africa has made significant strides in financing social and economic development, but the majority of South Africans are still poor and well aware of disparities in the governance of services such as health, education, potable water, sanitation and housing. The South African national government has frequently committed itself to extending the social welfare net to all citizens, which has been difficult to decentralise effectively, given that most provinces and municipalities have inadequate fiscal resources for self-sufficiency. Property taxes and service charges for water and electricity cannot be too heavy a burden to local residents and businesses (especially when the municipality is also required to promote investment and job creation through Local Economic Development); and “high proportions of unpaid service charges are an ongoing sustainability challenge for Cape Town City-regional local government financial stability” (Fast 2010).

With the exception of the major Metropolitan Municipalities, therefore, decentralised financial resources are seldom adequate for cost-effective developmental local government in South Africa. Based on the Division of Revenue Act (DORA) (RSA 2008c), “which guides the equitable allocation of national revenues to each of the three spheres, the South African intergovernmental fiscal system provides a framework of fiscal arrangements aimed at ensuring that sub-national development needs are met, and that the desired mix of public services is delivered”. Allocations by the non-partisan Financial and Fiscal Commission (FFC), Municipal Infrastructure Grants and other Treasury project funding are essential for decentralised development and basic service delivery.

National transfers to provinces and municipalities take account of their priority needs and fiscal capacity, to complement their own revenue base; positioning them to achieve their envisaged developmental results. The cited research of Makgetla (2007) questioned whether this results-based governance imperative is being performed in a sustainable manner.

3.5 RESULTS-BASED URBAN GOVERNANCE INSIGHTS

A wide range of independent assessments, evidence and informed insights regarding urban governance goals, results, significant changes and “right to the city” challenges (Parnell & Pieterse 2010) adds texture and context to the breadth of this chapter‘s urban developmental governance analysis.

A well-informed source of sub-national public governance research and policy information is the Conflict and Governance Facility (CAGE) website (2009), which was a National Treasury-sponsored partnership between the South African government and the European Commission, aimed at stimulating participation of policy research institutions on issues of national and city- regional policy dissemination and implementation, in order to promote decentralised governance effectiveness. The CAGE archives are a valuable source of South African developmental governance discourse and insights, some of which are summarised below.

3.5.1 Community engagement in Integrated Development Planning The municipal Integrated Development Planning (IDP) process required in terms of the Local Government: Municipal Systems Act (RSA 2000a) is intended to facilitate effective community consultation, co-ordination of democratic governance and results-based development in all South African municipalities – and in so doing to generate participation by community groups in the prioritisation of decentralised development budgeting and institutional performance management. Ironically, much of the frustration at community levels and resultant conflict between citizens and councillors or officials, has been shown in several surveys to be rooted in the gap between high expectations of a better life for all (ANC 1994) and disappointment (sometimes

collective anger) at the poor communications, lack of civic accountability and non-delivery of anticipated basic services (Swimmer 2012).

Some typical challenges to credible and effective IDP public consultation processes were reflected in “a comprehensive report commissioned by the Gauteng Provincial Government on the depth and quality of public participation in the Integrated Development Planning process in Gauteng” (Marais, Everatt & Dube 2007). This insightful report indicated that “a host of logistical constraints have hampered meaningful results-based public participation in urban development planning”. Many of the constraints identified in the Gauteng Provincial IDP report can probably be overcome relatively easily for significant change, as described in the following extracts from the report (2007: 111-124):

3.5.1.1 Poor publicising of community meetings and issues

“There were widespread citizen complaints that IDP meetings were often called at late notice and that potential participants, including Community Development Workers (CDWs), received too little information beforehand. Not enough preparation was done to promote localised participation”. In Johannesburg’s townships, IDP meetings were publicised in a local newspaper, but most areas appeared not to use community radio as an effective publicity medium.

3.5.1.2 Communities do not understand the IDP processes

“Some municipal officials claimed that the public was beginning to understand the IDP process better; and that communities were discovering how to ensure that IDP consultations, recommendations and requests are listened to and implemented. But when asked whether the average resident in a disadvantaged community really understands their rights and duties in the IDP processes, the answer was usually in the negative”.

3.5.1.3 Language can be a barrier

“English tended to predominate in all Gauteng municipal IDP publicity, documentation and meetings. Almost all interviewees cited this as a serious barrier to effective community engagement, understanding and participation”.

3.5.1.4 Travelling to IDP consultation meetings is difficult and costly Especially in large city-regions, attendance can be difficult and typically involved

significant financial and opportunity costs, unless special transport was provided. Transport problems often acquired a racial dimension; “In our areas… only whites can participate because they have cars. This creates an imbalance of opinions.” (a typical concern noted by a Community Development Worker).

3.5.1.5 IDP Community Consultation meetings were poorly facilitated

“In a group setting, poor meeting facilitation could be intimidating and discourage people from engaging, for fear of sounding ignorant or ill-informed. Women’s attendance at community meetings varied, but in several of the wards studied they attended at least in equal numbers with men. However, women tended not to participate equally, allowing the proceedings to be dominated by a few articulate men”.

3.5.1.6 People do not trust their local government

The Gauteng report stated that “there were issues of trust between communities and local government officialdom, including councillors”. Such community distrust often stemmed from perceived incompetence and organisational dysfunction, such as conflict or power struggles between the Mayor and the Speaker of the municipal council.

3.5.2 Phumelela: governance protest and conflict in a Local Municipality

In late 2004, violent protests broke out in several urban municipalities, against poor service delivery and ineffective local governance. These protests took on an increasingly violent streak with large numbers of protestors, rising from 5800 in 2004/05 to over 10000 in 2006 (Kagwanja & Kondlo 2009) and have continued sporadically ever since, in many urban areas.

The Centre for Development and Enterprise (CDE) studied two affected municipal areas in depth; namely Phumelela Municipality in the Free State province and Khutsong on the West Rand of Gauteng province, whose incorporation into the neighbouring North West province sparked off an uprising that recurred in early 2007 (Centre for Development Enterprise 2007). This CDE study “was aimed at objectively establishing the reasons for the recurrence of violent local protests in a democratic South Africa. Above all, it recorded the grievances of people who came to believe that this was the only way in which they could make themselves heard”. The study found that their grievances all had

something in common: a sense of having been treated with indifference or even contempt. Whether this was over leaking taps or incorporation into another province, these citizens of the new South African democracy revolted against perceptions of insensitive, unresponsive, and unaccountable political elites.

“It is in this interplay between national policy and ineffective local service delivery results that such community governance protests should be understood. Many municipalities face daunting problems, but still manage to cope. In others, daunting conditions were met with weak or inexperienced management, absent political leadership, poor communication, political patronage or ineptitude. When this happened, as it did in Phumelela and several others”, the CDE (2007) study found that communities lost patience, resorting to violent protest. The anger provoked by this dysfunctional municipal government touched well-off citizens, as well as those deprived of basic urban services.

Indeed, civic unrest in Phumelela Municipality was driven by a coalition of the previously advantaged and the still disadvantaged against an apparently unresponsive new political and managerial elite. CDE focus groups following up after the Phumelela conflict reported that by mid-2006, almost all the ward committees were functioning and municipal management and councillors seemed more accessible. One local business person commented that at least, the community was now informed when electricity was to be cut. Another focus group member remarked: “Things are better now; we are promptly assisted when we visit the municipal offices. Municipal employees getting drunk during working hours are a thing of the past” (CDE 2007: 9).

3.5.3 Community collaboration on the HIV & AIDS pandemic

South Africa has an HIV infection rate of over 24% (RSA 2007a). As economically active people become ill and die of AIDS, the polarising impact of the pandemic is felt more and more. In every part of the country, vulnerable families have been devastated by the deaths of breadwinners and struggle to look after those who are ill and the children left without parents. Economically and socially, the AIDS pandemic is recognised as a major humanitarian crisis; and as Marais remarked (in Daniel, Naidoo, Pillay & Southall 2010), some public governance forecasts warn of “decaying local institutions, imploding communities, curtailed schooling and deepening poverty” (2010: 305). As 95

national HIV&AIDS policy had seemed somewhat confused and contradictory at the turn of the 21st Century, several local campaigns were initiated by South African civil society groups.

One of the more pro-active decentralised programmes has been facilitated by the Education and Training Unit (ETU 2009), an activist NGO committed to capacity-building of local community leaders for democracy and development. Originally funded by the Swedish International Development Agency (Sida), ETU’s collaborative HIV&AIDS programme with local government in most provinces was later also supported by the US Agency for International Development (USAID). Since 2001 ETU has worked with over 100 municipalities to empower local communities and officials to develop and implement a coherent, co-ordinated local response to AIDS, as part of their social development programmes.

In the early days, there were very few governance role models. Municipalities had to develop creative ways of working together on education, treatment, removal of stigma and care of people infected and affected. Lack of capacity and resources meant that some municipalities did not come close to implementing their plans; but others made good progress, and there are now some encouraging and positive broad-based innovations that can serve as good practice examples (Hofmeyr 2009). Several governance lessons learned from this Municipal HIV&AIDS project were reflected in the publication In Our Hands (ETU 2006), including the factors of uneven development, lack of political will and diverse governance models of implementation.

3.5.4 Department of Public Service and Administration analysis of sub- national developmental governance results and challenges

In a discussion paper prepared for ultimate inclusion in the Presidency Towards a Fifteen Year Review (RSA 2008b) by the Department of Public Service and Administration (DPSA 2009), the following key sub-national governance achievements and shortcomings were identified, for policy review and enhanced results-based governance action:

• “A concern with the lack of capacity of the public service has been a constant theme throughout the first three terms of democratic

governance”. The transformation towards a more representative public service was informed by critical studies beginning with the Provincial Review Report (RSA 1997c) and the Presidential Review Commission (RSA 1998a);

• “South Africa is a constitutional state, which poses challenges of compliance in effective decentralisation, competent municipal governance and results-based management”. The Constitution (RSA 1996a) enshrined the separation of powers, and defined the powers and duties of the executive, legislative and judicial arms of government. It provides a framework for decentralised intergovernmental relations and prescribes basic values and principles for public administration. In 1996 - 1997, the Department of Public Service and Administration undertook a management capacity and competence review of every department in the nine provincial administrations. The Provincial Review found that at that stage “the Public Service is not yet fully demonstrating the principles set out in the new Constitution” (RSA 1997c:3);

• “More and more decentralised programmes of government require all three spheres to interact effectively in a co-ordinated and integrated manner, for sustainable results”. Joint programmes have often been hampered by the silo mentality in some departments, with a lack of funding by participating entities and lack of high-level managerial support and political championship. Efforts have been made to resolve these challenges; for example within departments, matrix teams have been established for cross- cutting projects and a framework of protocols for the implementation of joint programmes has been developed. Concerns regarding fragmentation of services have also led national government to develop plans for the further integration of the local sphere, through the initiative aimed at establishing a Single Public Service including local government, to optimise results-based governance and cost-effective service management (Clarke 2011).

According to this discussion paper (DPSA 2009), State Information Technology Agency (SITA) systems for planning, monitoring and control, still left a lot to be desired. This assessment was confirmed by the then Chair- person of the PGWC Audit Committee, given the lack of regulatory assurance that can be placed on the SITA electronic systems (Nicholls 2009).

By contrast, the socio-economic developmental role played by “effective communications technology in promoting territorial governance (and especially in creating more intelligent cities)” was highlighted by Santinha and De Castro (2010: 96) who emphasised “the importance of organisational capacity, institutional leadership, creativity and technology as drivers for change in a knowledge-driven economy”; and

• “Policy implementation processes for more effective provincial and local results-based governance”. The January 2007 Cabinet Lekgotla (strategic planning conference) mandated the Department of Provincial and Local Government to initiate a process of developing an updated White Paper on Provincial Government; and also to review the original White Paper on Local Government (RSA 1998b). Lessons learned from the implementation of national government decentralisation support programmes were to be considered, including Project Consolidate which had been launched in 2002, aimed at capacitating 136 ineffective local municipalities. Community formations, universities, organised civil society and public institutions were encouraged to participate in the process. The resultant Local Government Turnaround Strategy (RSA 2009a) implementation will be a factor for later assessment.

3.5.5 The South African Local Government Association (SALGA)

SALGA is closely involved in local governance policy debates, striving to use its constitutionally defined role and presence in the National Council of Provinces, in implementing the principles and tools of results-based co-operative government (SALGA 2006). The SALGA Chairperson and Executive Mayor of the City of Johannesburg commented that the wide-ranging submission by this organisation was the culmination of an intense consultation process with member municipalities; initially on a province-by-province basis, followed by an in-depth national workshop (Masondo 2009). In his Chairperson’s foreword to the SALGA (2007) position paper Mayor Masondo declared that “With the policy and legal framework for democratic, accountable and developmental local government in place, in line with the policy directions outlined in the White Paper, the current review process affords us an opportune moment to reflect whether indeed local government has been able to … ensure growth and

development of urban communities in a manner that enhances community participation and accountability” (SALGA 2007: 1).

Arising from its membership consultations, this SALGA position paper proposed several Local Government Policy Review priorities, which reflected the complex dynamics of decentralised developmental governance, including the following:

• The national policy review must provide clearer guidelines on the co-operative roles and responsibilities of national, provincial and local spheres;

• The role of a local councillor as a voice for the community and an overseer of the municipal executive/administration needed to find better expression, so as to avoid unrealistic expectations;

• Ward Committees (RSA 2005f) were a potentially important instrument for the advancement of local democracy. Municipalities need the authority to expand the composition (leadership, numbers and interest groups) of Ward Committees to suit their particular governance needs and circumstances; and

• The competence profile of an effective Municipal Manager in terms of education, experience, leadership and integrity needed be set out clearly (SALGA 2007:9).

3.5.6 The South African Cities Network (SACN)

SACN is an institution which has a potentially major role to play in promoting results-based city-regional developmental governance. Jointly established in 2002 by the Ministry of Provincial and Local Government in collaboration with SALGA and the mayors of South Africa’s largest cities, SACN is a Section 21 company (Not for profit) with the mandate of promoting effective city governance and management by assessing and disseminating the experiences of large city government in a South African context; and facilitating shared- learning urban partnerships between spheres of government. Examples of SACN’s well-researched urban studies are its State of the Cities Report (SACN 2007) which highlighted ten key urban developmental results-based governance challenges; and Sustainable Cities (SACN 2009), which reviewed a range of

indicators of urban sustainability including renewable energy, sustainable public transport, green building standards, landfill gas recovery and urban biodiversity.

Another relevant study (SACN 2011b) focussed on the issue of provincial land use management legislation, with the goal of ensuring that city-regional jurisdictions are appraised of developments on this contentious issue; and understand the ramifications of law reform on their urban governance, land usage and socio-economic development strategies. Fast (1990), later the Head of the Western Cape Department of Local Government, had incisively examined the central role played by segregated spatial planning and land use management over many decades in pre-1994 Cape Town, in terms of socio-economic governance policies for human settlements in the city-region. Metropolitan municipalities and major cities are members of the SACN; and later chapters of this thesis note the contribution of SACN research reports to effective results- based urban governance and equitable public management practices. These reports sometimes contrast with the “paralysing politicisation and associated corruption” which Butler (in Daniel, Naidoo, Pillay & Southall 2010:168) referred to as a direct result of the Municipal Systems Act (RSA 2000a) provision for an executive mayoral system, which “allows a mayor to govern in secret with a hand-picked executive committee” (2010: 168).

From the above overview of post-1994 results-based developmental dynamics and insights, one concludes that South African community expectations and governance ambitions of rapid redress of inherited spatial and socio-economic inequities have not yet demonstrated the anticipated significant changes and democratic dividends. Reasons for the sub-optimal results, especially in terms of urban developmental governance shortcomings and potential strategies, are reviewed in this and the subsequent chapter.

3.6 HAS THE METROPOLITAN VISION OF 1996 BEEN ACHIEVED?

Robert Cameron (2005) traced the evolution of metropolitan governance in South Africa, largely within the context of city-regional public administration reform in the country since 1996. Capacity problems such as management and technical efficiency were frequently highlighted. His study is an account of the

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development of city-regional governance in South Africa, but also has a somewhat wider focus. It located metropolitan governance reform in South Africa within the broader international debate of the merits of city-regional consolidation, versus those of urban fragmentation. Cameron’s study also showed that South African metropolitan government reform was part of a wider decentralisation programme by national government. Empowered metropolitan governments were now responsible for social and economic development and improved basic service delivery for a significant proportion of South Africans. Public participation was identified as a key aspect of these governance reforms. Metropolitan governance, Cameron (2005:332) noted, “ has to promote sustainable urban development - but at the same time it also has to strive to make city- regions globally competitive”, as is reflected in chapter 5 of this thesis.

Cameron argued that many of the ambitious reform goals of South African metropolitan governance have not yet been realised; and that there has been a major disjuncture between the objectives of metropolitan reform and its impact on the urban social order. His observations correlated with those of Sitas (2010), who reflected on the developmental complexities of metropolitan Durban, at the time of the amalgamation of various local municipalities and KwaZulu homeland peri-urban settlements into a Unicity of over 3 million inhabitants, now known as eThekweni Metropolitan Municipality. The Durban Metropolitan Council (1996:1) Vision Paper on Urban Strategy) articulated a somewhat utopian vision that “by the year 2015, metropolitan Durban would be a clean and safe environment with full employment, with its residents living in acceptably serviced housing, and with a high quality of life which can be sustained” (Sutcliffe 2011).

The Economic Development Department of the then Durban City Council insisted that it would be able to translate city-regional economic growth into job creation and to ensure well-trained, flexible and creative labour. Sitas described the reality in later years; although the city-region experienced a 400% increase in volume of trade, with potential for industrial expansion and economic growth as a major seaport, it was seriously affected by protracted political strife. One in every five people had to relocate because of the factional violence; one in three was unemployed, one in seven was HIV positive, and two

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in every three youths had never found formal employment. The city-region of Durban had become a “new citadel of transnational crime syndicates – the drug trade alone is estimated to be worth millions of Rands” (Sitas 2010: 122).

Benit-Gbaffou (2008) undertook a field study of community security attitudes and participation in local informal alliances, rather than official community policing forums, in suburbs and townships in the Johannesburg city-region; concluding that there were various norms of social order, and that some urban communities preferred self-organisation, rather than co-operation with the official organs of the city-region. Despite all the expertise, energy and promotion of decentralised metropolitan governance in South Africa, much remains to be done to achieve the ambitious vision, as was reflected in a Centre for Develop- ment and Enterprise (2002) urban development analysis. This CDE report, the fifth in a series on South African city-regions, focussed on “implications of globalisation for Johannesburg, the most economically important metropolis in sub-Saharan Africa” (2002:3). The theme of this series of developmental urban governance reports has been “to focus stakeholders’ attention on the impact of globalisation and associated challenges facing South African cities”. The CDE report challenged national, provincial and city governments to “face a stark choice”; and stated that “if Johannesburg were to continue on its current path of ineffective governance and management, it could slip off the list of world cities, which produce the world-class skills, technology, and services which the African continent needs”. What is needed, according to this CDE governance report, “…is to create the best possible environment for large and small enterprises to flourish. This is the only way in which the high growth and employment opportunities essential for Johannesburg’s metropolitan success can be created” (CDE 2002: 13).

There has also been a policy shift in recent years towards an urban spatial planning approach, since the Cabinet’s approval of the National Spatial Devel- opment Perspective (NSDP) (RSA 2006a). This strategy, first mooted in the Reconstruction and Development Programme (RSA 1994) clearly singled out the city-regions as reservoirs of growth and the main target for the implementation of public policies to alleviate poverty. The stated objective of the NSDP was to “… fundamentally reconfigure apartheid spatial relations and to implement

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spatial priorities that [while promoting economic growth] meet the constitutional imperative of providing basic services to all and alleviating poverty and inequality” (RSA 2006a: 4). The NSDP provided guidelines through a set of principles and mechanisms on locations for the major infrastructure and economic development investments, including a common framework for facilitating the interactions of the three government spheres in the planning and implementation of infrastructure. Although it represented a step in the right direction it was still unclear how funding initiatives would percolate from the national level to those urban regions identified as NSDP priorities. Policy guidelines were being reviewed, which correlated more closely with national Depart- ment of Trade and Industry (DTI) and Department of Economic Development (DED) guidelines and which need to be incorporated into provincial Growth & Development Strategies (Strachan 2010).

Despite rapid institutional changes, recognition that South African urban development requires a specific and differential spatial approach within the national perspective has not been readily embraced by national policy-makers. More specifically, the notion of sufficiently flexible arrangements, which incorporate a more spatial view on metropolitan areas and a logic that goes beyond administrative and jurisdictional boundaries, had until recently not been a part of the policy agenda (Clark, Dexter & Parnell 2007). The initial post-1994 governance policy documents were characterised by a concern for social development and poverty reduction, but were predominantly focussed on rural areas. Cities were generally ignored, except insofar as they noted the special needs of the townships. There has recently been, however, some significant change in terms of movement towards recognition of major cities’ vital governance role in fostering national growth and the need for a developmental national policy for metropolitan regions. In the NSDP (RSA 2006a) initiative, the role of urbanisation and city governance in triggering increased economic growth rates was explicitly mentioned and Cape Town was defined as a major growth node. The NSDP can therefore be considered a significant strategic change in the post- 1994 developmental management approach, insofar as it aimed at concentrat- ing interventions and resources in the most populated urban areas which have

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economic development potential. City-regional governance co-ordination mechanisms have not, however, been coherently addressed.

In the same year, the national Departments of Provincial and Local Govern- ment, Housing and the Presidency issued the National Urban Renewal Programme: Implementation Framework (NURP) (RSA 2006b), which highlighted the potentially key role of South African cities in contributing to national socio-economic growth and the need to sharpen the urban governance focus. Although these initiatives pointed in the direction of a more strategic approach to the role of city-regions within the national political economy, doubts at the national level appeared to remain as to how city-regional governance would be recognised and dealt with (Majiet 2012). The NSDP, which provided guiding principles for public infrastructure investment in city-regions, leaves provincial and metropolitan governments the task of interpreting the national priorities. This co-operative government factor is reviewed in chapters 7 and 8.

In 2007, aligned with the AsgiSA and NSDP initiatives, the Department of Trade and Industry released the National Industrial Policy Framework (NIPF) (RSA 2007b), an interventionist strategy targeting specific industries by public sector agencies and interventions to overcome failure in city-regions. The NIPF strategy did not explicitly mention places where interventions could take place, but it noted that if the three main Metropolitan municipalities (Johannesburg, eThekwini and Cape Town, accounting for some 66% of GDP) continued to grow at a faster rate than the rest of the country, the spatial inequality of the country would increase to unacceptable levels. This position has raised concerns and tensions with other key national stakeholders about the governance of spatial development in South Africa: including for instance, the fact that many of the secondary towns mentioned by DTI are actually part of the functional city-regions. The status of the National Urban Renewal Programme implementation framework (2006b), which was intended to form the basis of a potential future national urban development policy, remains unclear.

The limited socio-economic developmental achievements of these and other state interventionist strategies cause one to consider South Africa’s results- based urban governance cohesion, collaboration and competence.

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3.7 SOCIAL COHESION FOR RESULTS-BASED URBAN GOVERNANCE

Any discourse on the results-based developmental governance problems for all three spheres of post-1994 South African government, without reference to the issues of urban basic service delivery, in-migration and social cohesion, would be incomplete. Enhancing the lives of historically disadvantaged communities who have migrated from the depressed homelands to the perceived lifestyle opportunities of city-regions is one of the strategic imperatives of the South African developmental state.

Facing the Nation: South Africa’s most important challenges (Roberts, Struwig & Rule 2010) provided a synopsis of the Human Sciences Research Council (HSRC) series of South African Social Attitudes Surveys (SASAS), summarised in the HSRC Review 2010. Their SASAS synopsis examined the relative ranking by the South African public of developmental governance results and challenges facing the young nation-state; as well as differences among sub-populations. The SASAS survey data has been conducted and published annually since 2003. In each annual survey, respondents were asked what they thought were the three most important challenges facing South Africa at that time. Analysis of the 2009 round of SASAS responses revealed that unemployment and poverty remained by a considerable margin (75%), the most salient problems identified by the South African public (HSRC Review 2010).

Drawing together trend data in the 2003–2009 SASAS series, it was possible to place these results in a broader governance perspective; and so to discern significant changes during the early years of post-1994 governance. While public concern over unemployment had remained entrenched over the period, there had nonetheless been some significant shifts in the relative position of other citizen expectations of results-based governance. Between 2003 and 2009 close to half of South Africans listed the crime rate as their major problem, with HIV/AIDS, corruption and cronyism being frequently cited.

The public governance challenges of urban unemployment, crime and corruption were also reflected in the Economic Survey of South Africa (OECD 2010c); and Kanyane (in Kondlo & Maserulume 2009: 78) underscored the governance need to focus more effectively on urban developmental results of basic service delivery, improving intergovernmental relations for “a more 105

humanised and humanising public service that has as its vision, social empowerment and consciousness raising of the communities it serves” (Kanyane 2009:23). Not only did these indicators convey a sense of the state of the nation; they suggested important results-based developmental public governance objectives for policy-makers.

Considerable international research shows that strong social cohesion is what produces an effectively engaged civil society, which, in turn, is seen as necessary for effective modern democratic governance: “no civil society, no democracy” (Fukuyama 1999:7). A comparative empowerment evaluation (Sewell & Van Hoof 2008) of participative implementation of a five-factor Local Governance Barometer (LGB) interactive instrument in five Southern African countries indicated empirically how local civil society leaders were disempow- ered in districts where inaccessible or intransigent officials and councillors were rated low on the public governance barometer factors of Accountability, Participation, Equity, Rule of Law and Effectiveness.

This need for community engagement through participative governance was underscored by the South African Non-Government Organisations Network (SANGONet) in their commentary after the 2009 general election that “…the past 10 years were characterised by very little constructive engagement between government and the NGO sector” (SANGONet 2009). Joining with SANGO on this theme, The Council for the Advancement of the South African Constitution (CASAC) launched a citizen empowerment project called From Subject to Citizen (Naidoo, L 2011), highlighting that before any talk of intergovernmental co-ordination between spheres, there needed to be intragovern- mental integration, enhanced community engagement and co-operative delivery. CASAC has also collaborated with labour, civil society and business in promoting a Red Card Corruption campaign, which seeks to develop a zero tolerance approach to corruption, which hinders the fulfilment of socio-economic rights in the new South Africa (CASAC 2011 & Naidoo L 2011).

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3.8 CONCLUSION: SUSTAINABLE URBAN DEVELOPMENT AND RESULTS-BASED CO-OPERATIVE GOVERNMENT

The findings of this chapter have shown that South Africa’s rapidly expanding urban areas face fundamental socio-economic public governance and sustainable resource-use challenges; a global phenomenon of urbanisation highlighted by Swilling (2010a; 2010b) which is assessed in the Cape Town City-regional governance context in chapters 6 and 7. Since the demise of statutory apartheid, urban in-migration from former homelands has accelerated; and urban dwellers are estimated as over 60% of the total population in South Africa today (StatSA 2007b).

The engines of national growth are 26 city-regions with high population densities and local economies which include both labour-intensive and capital- intensive activities. The three major metropolitan municipalities alone (Johannesburg, Cape Town and eThekwini) contribute more than 45% of national GDP (Sutcliffe 2012). Socio-economic disparities have increased between the growing (mainly urban) regions and lagging (mainly rural) regions, and are most evident within city-regions, where a large proportion of the population lives in under-serviced areas. Economic activity in former homelands is largely survivalist; state transfers and grants are generally the main source of income (Mohamed 2007). Poverty and unemployment have largely been displaced to the major city-regions, which now face intense social problems, including criminality, drug abuse and HIV&AIDS. Of 47 District Municipalities mandated to co-ordinate non-metropolitan development, 34 rural Districts experienced net out-migration to metropolitan centres and cities between 1996 and 2001 (RSA 2006a).

In formatively evaluating the available evidence of most significant change in the first decades of developmental urban governance in the new South African nation-state, critical analysis indicates that the country’s developmental strategy has shown considerable potential for building sustainable social capital, essential for effective urban results-based governance; but that local democracy (with the necessary political will, competence and community capacity) has yet to take root. After the euphoria of liberation in 1994, there necessarily followed a centrally managed process of integration of racially and socially fragmented

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local and regional authorities, with widely diverse cultures and legacies of experience, expectations and expertise (Pillay, Tomlinson & Du Toit 2006).

The commitment to democratic centralism of the former liberation movement, now majority party in national government and most provincial and local legislatures and executives, has effectively driven its use of concurrent national and provincial powers to develop, direct and defend a central-state strategic approach (Hoffman 2012). As referenced earlier in this chapter (Clarke 2011), national developmental strategy has not adequately empowered public managers who have been granted delegations, without being equipped with the necessary resources or skills to use these delegations effectively. This apparent competence and capacity gap did not deter the Minister of Public Enterprises (Gigaba 2012) from calling for centralised control of all state-owned enterprises in one super ministry, at the hub of South Africa’s developmental state.

With the local and provincial governance systems now in place - though the future of the provincial system is still in periodic dispute (De Villiers 2007; Rapoo & Moloi 2008) - and the demands for infrastructure growth, equitable spatial planning, mobility and socio-economic development widely recognised, the need for effective urban developmental governance is paramount. Taking note of the theories of social order in a heterogeneous society, well documented by Hechter and Horne (2009); and of the macro-policies for sustainable development (Weaver, Rock & Kusterer 1997), South African public governance stakeholders need to acknowledge the varied voices across the political - administrative spectrum, cautioning that a cost-effective blend of shared principles and sustainable urban developmental practices is not yet realised.

Such cautions were reflected in a thought-provoking paper delivered at the International Conference on Democratic Decentralisation (Heller 2001), highlighting that “the building of decentralised democratic government, even under the most favourable conditions, is anything but linear. Differences in political and relational dynamics can produce significantly divergent trajectories. In some developing states in federal India and Brazil, reforms which increased local participation have been sustained; and have seen a strengthening of urban social capital through democratic institutions and co-productive planning”.

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In contrast, the South African democratic transition which “ was celebrated as one of the most inclusive of its kind, with constitutional commitments to building democratic, developmental local government” (RSA 1998b & RSA 1999a), have given way to political centralisation, managerialism and a perceived lack of equitable participation to indications of tenderpreneurship and crony capitalism. Koelble and LiPuma (2010) found that “the main institutional obstacles to development and service delivery facing two thirds of municipalities across South Africa are caused by a series of institutional shortcomings, ranging from policy incoherence to a lack of technical and managerial skills”, particularly in finance, electrification, water and sanitation.

Political instability in several South African municipalities, especially relating to shifting alliances and councillor/managerial allegiances between elections, heightens the probability of financial and procurement irregularities, according to Local Government Research Centre director and former Mayor of Cape Town, Clive Keegan (2011). Responding to Auditor-General reports on ineffective political oversight and internal controls on development funding in several municipalities, he pointed out that “constant changes in political alliances does cause local government politicians and municipal management to lose sight of their governance and oversight obligations” (Keegan 2011). Much of this instability, his research found, related to hung councils - where one party did not have an overall majority of members – while political leaders searched for potential governing alliance partners between elections. He mentioned several Western Cape examples of such municipal political instability and volatility, where “basic service standards, development goals and results-based controls were subordinated to factional strife, favouritism and financial irregularities” (Keegan 2011) according to Auditor-General of South Africa findings. The governance implications of this political volatility in the Cape Town city–region are assessed in chapters 7 and 8.

Before undertaking a formative evaluation of results-based public governance in the heterogeneous Cape Town City-region, it is apposite to analyse the constitutional characteristics, scope, cost-effectiveness and sustainable implementation of the national results-based governance regulatory framework. These indicative governance factors are the focus of the following chapter.

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CHAPTER 4

READY TO GOVERN? THE SOUTH AFRICAN REGULATORY FRAMEWORK FOR RESULTS-BASED PUBLIC GOVERNANCE

4.1 INTRODUCTION: DELIVERING DEVELOPMENTAL RESULTS?

In this keystone chapter, an analysis and formative evaluation of the South African national results-based developmental governance and regulatory framework is undertaken in response to the second research question of this thesis, by reviewing and assessing a range of significant changes in post-1994 national public governance policies, institutions and practices. Subsequent chapters devolve relevant data from the national sphere policies, instruments and implementation, towards analysis of the city-regional governance institutions, policies and results-based change processes; specifically within the multi- cultural developmental dynamics of the Cape Town City-region. In this national sphere assessment and analysis, systematic use is made of the results-based criteria of the S-A-F-R-I-C-A public performance model, underpinned by the purposive public governance principles and indicators defined in chapter 2:

• Strategic Vision & Mission which sets direction and inspires action;

• Accountability and Consequences for clearly defined results;

• Financial alignment of resources with mission, risks and outcomes;

• Recognition & reinforcement of effective governance results;

• Investment in people, to develop technical & managerial capacity;

• Community engagement for democratic empowerment; and

• Accessible data & evidence for planning, monitoring & evaluation.

When the newly-elected Government of National Unity (GNU) of the about-to- be-reconstituted Republic of South Africa came into power in 1994 with a daunting legacy of political and socio-economic inequity, it reflected a unique governance history of what has been described as “colonialism of a special type” (Gerwel 2002:2). The socio-economic aspirations and demands of the

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South African mass democratic movement (MDM) had been widely debated at grassroots level, documented in 1955 during the Congress of the People campaign as the Freedom Charter (Cronin & Suttner 2006) and more formally defined in the five strategic programme areas of the Reconstruction and Development Programme (RSA 1994). The broad political consensus around the vision, governance principles and institutions of the quasi-federal new Republic of South Africa Constitution (RSA 1996a) built an apparently solid platform for democratic public governance and results-based developmental management. As described in Chapter 3, however, the construct of co-operative government, with concurrent competencies between three distinct, interdependent spheres of government has not always evidenced sustainable achievement of socio-economic developmental results.

In 1994, the multi-party GNU recognised that its “ambitious programmes of reconciliation, reconstruction and socio-economic development would require significant transformation of the public service it had inherited, to create an enabling agency which serves and empowers all citizens in a fully accountable and transparent way” (Bardill 2000:103). The national framework for this complex transformation was informed by the World Bank Technical Paper 225 (Dia 1993) as well as the Reconstruction and Development Programme policy(RSA 1994); and was subsequently set out in “the White Paper on the Transformation of the Public Service” (RSA 1995). The transformation process was described in the latter White Paper introduction as “dramatic, focussed and relatively short-term” (RSA 1995:2). To ensure that “transformation and ongoing administrative reform processes were subject to independent scrutiny”, the Transformation White Paper (RSA 1995:3) recommended “the establishment of a Presidential Review Commission to carry out an assessment of the desirable structures and functions of the post-1994 public service”.

The Presidential Review Commission (RSA 1998a) recommendations to President Nelson Mandela acknowledged that much progress had been made in translating the RDP vision into developmental governance results - but provided exhaustive evidence that “overall progress in relation to the effective implementation of the governance transformation and reform process has in many ways been seriously disappointing” (RSA 1998a:134). This chapter

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analyses the regulatory framework of national policies, strategies, legislation and institutions which have been implemented since the White Paper on the Transformation of the Public Service (RSA 1995), seeking to assess and evaluate the extent to which these initiatives have facilitated most significant changes in results-based public governance towards realisation of the Constitutional vision and administrative values (RSA 1996a Section 195.1).

4.2 EVOLUTION OF NATIONAL POLICIES, INSTITUTIONS AND PROGRAMMES FOR RESULTS-BASED PUBLIC GOVERNANCE

While the Territorial Review of the Cape Town City-region (OECD 2008a) was in process, soon to be recalled President Thabo Mbeki ironically commented on media reflections of post-apartheid South Africa, in his delivery of the first Raymond Mhlaba Memorial Lecture (Mbeki 2008) that:

• “we are prone to violent crime and corruption;

• through heartless negligence, we have condemned millions to dehumanising poverty;

• as individuals and leaders of our people, we are hungry for power and its abuse for personal gain;

• our leaders would corrupt the institutions of the democratic state for personal benefit, the destruction of the rule of law and the negation of democratic practice; we live in a society that once showed immense promise, but is now condemned to despair and eventual collapse, and

• rather than an African Renaissance, we face yet another false African start” (2008).

President Mbeki presumably intended to juxtapose the Bill of Rights in Chapter 2 of the Constitution, which detailed the governance specifics of socio-economic human rights and state responsibilities to “respect, protect, promote and fulfil” and with the proviso in clause 27 (2) that “the state must take reasonable legislative and other measures, within its available resources, to achieve the progressive realisation of each of these rights” (RSA 1996a: 13). These comprehensive socio-economic rights include: “Equality before the law, Human

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dignity, Life, Freedom and security of the person, Freedom of expression, Freedom of association, Freedom of movement and residence, Freedom of trade, occupation and profession, Access to housing, Health care, food, water and social security, Education; and Just administrative action”. These rights are limited by Clause 36: all “within limitations which are reasonable and justifiable in an open and democratic society, taking into account all relevant factors” (RSA 1996a: 18). In order to focus analysis of the second thesis question meaningfully on realisation of these Constitutional imperatives through effective results-based public governance, this chapter assesses national socio- economic governance policy and regulatory institutions, with a view to assessing resource mobilisation, skills development and results-based management implementation in the national sphere.

4.2.1 Social Development context, governance strategy and interventions

A Nation in the Making (RSA 2005b) is an insightful discussion document on macro-social trends in South Africa, produced by the Presidency Policy Co-ordination and Advisory Service (PCAS). This PCAS document had formed the basis of policy priorities for the national Department of Social Development (DSD), which is responsible for the development of national strategies and legislation, norms and standards and implementation support to the provincial and metropolitan departments of social development; and for the evaluation of national and provincial programmes. Social Development is a constitutionally concurrent function, with accountability for much of the service delivery vesting with the provincial departments and local co-ordination through metropolitan and district municipalities. The Social Development vision is described as “a caring and integrated system of social development services that facilitates human development and improves the quality of life” (RSA 2009b: 4).

The transversal importance of community development policy precepts in the South African results-based governance context had been highlighted during the processes of refocussing the Departmental strategy and resources, reflected in an audit of Current Policies and Legislation that have an Impact on Community Development Practice (RSA 2008d). The starting point for this DSD performance audit was the search for a common understanding of what constitutes community development amongst the various stakeholders. The

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definition ultimately selected was adopted as the Sustainable Livelihoods Approach (SLA): “Community development is the process and method aimed at enhancing the capacity of communities to respond to their own needs, and at improving their capacity for development, through community mobilisation and empowerment programmes” (RSA 2008d 18).

4.2.2 The Macro-economic governance strategy, goals and interventions

For the purposes of the following contextual macroeconomic governance analysis, data has largely been sourced from the South Africa Yearbook 2008/09 (RSA 2009c); Statistics South Africa Online (2010), the African Economic Outlook (OECD 2007a; 2011b), Economic Assessment of South Africa (OECD 2008b) and Tackling Inequalities in Brazil, China, India and South Africa (OECD 2010a).

After sluggish economic growth in the face of international sanctions, newly democratic South Africa experienced a positive trend, despite a slowdown in the beginning of 2008. South Africa had experienced significant boom and bust cycles over the 1980s and to a lesser extent in the 1990s. Since 2000, it has progressively followed a more stable economic growth path, even surpassing that of the median for OECD countries. Between 1995 and 2005, South African GDP grew at an annual average of 3.4%, accelerating in 2005 to 5.1% (OECD 2007a). Continued momentum in consumer demand, relatively low interest rates (until late 2006) and a wealth effect from rising asset prices - particularly within the property market - contributed to this trend.

Positive growth in recent years, however, has not resulted in sustained job creation; unemployment remains unacceptably high, relative to national socio- economic aspirations. South Africa is still struggling to overcome the social and economic legacy of apartheid. The 1994 government inherited an economic framework based on natural resources (gold, coal and diamonds) and a poorly developed, highly protected manufacturing sector. In spite of tertiarisation and the shift towards a more knowledge-intensive economic structure that has occurred over the past 20 years, natural resources still play an important role in the national economy; and the labour market has been unable to generate enough employable skills to absorb the increasing national workforce. This has meant that a large part of the population continues to be excluded from the 114

labour market. Consequently, national unemployment stands at about 26.5%; and if discouraged workers are counted, the broad definition rate of unemployment probably exceeds 43 % (StatsSA 2007a). This is a function of a skills mismatch: the knowledge-intensive character of the formal economy and the capital-intensive activities have resulted in high demand for skilled labour in a nation with a surplus of under-skilled labour, thus generating wage differentials across all skill levels. In turn, the lack of skills is linked to the continuing failure of the educational system, in particular for secondary and tertiary education, which have high drop-out rates. Wide educational disparities persist, with a “substantial number of South African students performing more poorly than in other sub-Saharan African countries” (OECD 2008b: 40).

Wealth is abnormally concentrated and South African society “still has one of the widest income disparities in the world” (OECD 2010a). According to the United Nations Human Development Report (UNDP 2006) South Africa’s Human Development Index was rated relatively low, at 110 of 167 countries; and the South African Gini Coefficient of income inequality was 0.57: close to that of Brazil and significantly more unequal than other comparable medium- income GNP countries such as Mexico and Turkey, both reported at 0.33 by the United Nations Development Program (2011).

4.2.3 Accelerated and Shared Growth Initiative for South Africa (AsgiSA) and the National Industrial Policy Framework (NIPF)

Accelerated and Shared Growth for South Africa (AsgiSA) (RSA 2006f) has been the main economic development strategy in the first decade of the 21st Century. Set up in 2005 to replace the oft-maligned Growth, Employment and Redistribution (GEAR) programme, which had in turn displaced the Reconstruc- tion and Development Programme in 1996, AsgiSA’s stated aim was to halve poverty and unemployment by 2014, aligned with the Millennium Development Goals. Its particular focus was on improving results in infrastructure development, sector investment, education and skills training. Concerning infrastructure, national government increased the public investment by around 8% of GDP between 2005 and 2008. Regarding industrial sector investment, AsgiSA projects promoted intervention in defined sectors of the economy, selected

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according to their functional linkages with the rest of the industrial base and their capacity to generate employment.

The Joint Initiative on Priority Skills Acquisition programme (Jipsa) (RSA 2008o) aimed to improve the number of skilled workers, to support the development of the national industrial base. A governance platform for a “system of regulated adversity” (Sitas 2010: 11) through participative dialogue and mediation between capital, state and labour was embodied in the National Economic Development and Labour Council (NEDLAC).

Despite the robust performance of the national economy up to 2008 (which in fact outperformed AsgiSA’s target) the reduction of systemic unemployment and poverty has lagged. The main shortcomings of AsgiSA and Jipsa implementation, according to the author’s analysis, were in the outcomes mapping from identifying constraints to implementing results-based interventions. While much of the diagnosis of constraints had identified obstacles facing firms in entering markets, public policy responses remained predominantly state-oriented; and therefore frustrated the objective of strengthening competition. The emphasis on government initiatives and programmes have been at odds with the finding that a major constraint was limited public management capacity for policy planning, implementation and co-ordination, according to the director of the Cape Regional Chamber of Commerce (Schuitmaker 2010).

4.3 S-A-F-R-I-C-A PUBLIC PERFORMANCE MODEL ANALYSIS OF NATIONAL RESULTS-BASED GOVERNANCE FRAMEWORKS

The second thesis research question, with the evidence-based intent of assessing progress towards the realisation of the 1996 Constitutional vision, values and principles through results-based public governance institutions and regulatory frameworks, is the focus of this section; with the purpose of reviewing, explicating and analysing co-operative government efficacy in the country’s urbanisation shift. Most significant changes in the national results-based public governance strategies and management processes are analysed, within the purposive criteria of the S-A-F-R-I-C-A public performance model and the developmental context of rapid urbanisation.

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4.3.1. Strategic Vision & Mission which sets direction and inspires action

“Governing post-apartheid South Africa has been, ironically, primarily an exercise in seeking to impress those who hoped apartheid would never end”, asserted political analyst Friedman (2005: 44). In Friedman’s opinion, post-1994 South African governance has enjoyed uneven success; in what should have been its most significant goal of creating a workable, inclusive society, “governance gains have been modest … at least part of the reason has been the governing class’s preoccupation with the first goal” (2005:44). The findings of this chapter suggest that the uneven success is attributable more to public governance inexperience, competence gaps and factional ideologies, rather than any peripheral preoccupation.

The new nation-state of the Republic of South Africa has not been characterised by any lack of strategic visions and missions. On the contrary, since 1994, public governance strategy and style has reflected a plethora of visions, missions, programmes and projects. The dawn of inclusive democracy in 1994 presented the GNU with “twin results-based governance challenges:

• The need for institutional transformation and introduction of new policies, in line with the inclusive vision of the Constitution; and • The need to deal with the legacy of apartheid, while integrating the state and society, in a rapidly changing global political economy” (Asmal 2008). As referenced in earlier chapters, the first years of the new democracy saw the introduction of the RDP (RSA 1994) which defined five key strategic nation- state missions. These RDP strategies were elaborated in numerous policy papers and legislation to include the specific priorities and programmes of government clusters and departments. The dedicated Ministry of RDP was dissolved in 1996 and in the same year the new Growth, Employment and Redistribution (GEAR) (RSA 1996d) macro-economic strategy was adopted.

The Constitution (RSA 1996a) was “followed by an average of 90 Acts of new national legislation introduced per year in the first 10 years” (RSA 2008e), including a progressive new labour relations regime. To monitor and evaluate progress and performance in defined governance result areas, a compendium of development indicators was identified from 2004 for cabinet and public

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service monitoring and evaluation (M&E) in the medium and long terms. These indicators were intended to inspire awareness and focus management action, facilitating measurement of progress in key result governance areas. During the first decade of post-1994 governance, a framework of new state institutions was created, across all three spheres of government. Many results-based public governance and management policies and practices were revised or devised, to project the national vision and institutional missions, in line with perceived “international best practices”. Significant mobility of management and professionals added new skills and diversity, though this also led to considerable loss of institutional experience and competence.

The gap between governance strategic vision and management understanding of core government policy and programmes was highlighted by the poor pre-test knowledge scores of national and provincial departmental Human Resource Managers, during a country-wide series of Public Service Induction massification training seminars, facilitated in 2008/09 by the author and other practitioners of the Education and Training Unit (ETU) on behalf of the South African Management Development Institute (RSA 2008f). The median score in a basic knowledge test of core government policies and strategies amongst over 600 HR and regional office managers accountable for inducting and mentoring public service staff was just 37%. Typically, the author found that only 60% of participating Human Resource Managers had seen a copy of their departmental Annual Performance Plan (APP). The author’s observations as co-facilitator of these ETU / SAMDI HR management seminars were indicative of limited understanding and commitment to effective co-ordinated governance, in several national and provincial departments.

President Mbeki’s political recall and leadership replacement by the governing party was followed by a new electoral mandate in 2009, led by President Zuma with a revised set of national strategies, ministries and public governance priorities. These were outlined in the Medium Term Strategic Framework 2009-2014 (MTSF) (RSA 2009d); a comprehensive strategic document issued by the newly-created Ministry in the Presidency: Planning. The new Presidency reiter- ated its commitment to accountable results-based governance with an enhanced state capacity for regional growth and development; building

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enhanced capacity to provide equitable basic services to all citizens and to ensure effective long-term developmental planning. The MTSF 2009-2014 called for a shared national agenda and a Vision 2025, which “will define the kind of society we wish to become within a fifteen-year time horizon” (RSA 2009d: 6). It underscored the need to create a nation united in diversity, “working together to weave the threads that will result in a democratic, non- racial, non-sexist and prosperous society” (2009d:6) and identified ten newly- defined governance goals.

Expressing commitment to a democratic developmental state is one thing, however; actually constructing, effectively governing and efficiently managing such a nation state is another. During 2010, the ten MTSF goals were once again revisited and reworded - this time into twelve Ministerial Outcomes, each to be formalised in Delivery Agreements underpinned by a set of problem statements, measurable outputs and interdepartmental action plans. Based on currently available data, a formative evaluation of the most significant changes and strategic progress of the Ministry in the Presidency for Performance Monitoring & Evaluation and for the National Planning Commission will be ventured in the final chapter. The fundamental governance implementation mechanisms are located in the national, provincial and city-regional institutions, capacitated to implement co-ordinated mission and vision strategies and management disciplines, which will achieve sustainable developmental results.

4.3.1.1 National Initiatives for Results-Based Governance

A diverse new range of strategic initiatives was announced by the incoming Zuma Presidency, ostensibly towards enhanced national planning, resource co-ordination, public accountability, performance monitoring and evaluation. During his inaugural State of the Nation Address (SONA) (RSA 2009e) to Parliament, President Zuma repeated the mantra of “let us join our hands to find solutions together. The time has come to work harder” (2009e: 4). Remarking on the country’s “fully functional constitutional democratic system with solid institutions” (2009e: 5), the new President committed his administration to the 10 priority key result areas (somewhat different from the AsgiSA themes of the outgoing Mbeki era) which collectively informed the Medium Term Strategic Framework 2009-2014.

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Soon thereafter, the new Ministry for Performance Monitoring & Evaluation released its Green Paper for public discussion, entitled Improving Government Performance: Our Approach (RSA 2009f). A month later, the other new Ministry in the Presidency: Planning released the Medium Term Strategic Framework 2009-2014 (RSA 2009e), describing it as a statement of intent identifying the “development challenges facing South Africa and outlining the medium-term strategy for improvements in the conditions of life of South Africans and for our enhanced contribution to the cause of building a better world” (2009e: 3). It drew from the findings of the Towards a Fifteen Year Review (RSA 2008a) as well as issues which arose in the subsequent strategic planning process “South Africa Scenarios 2025: The future we chose?” (RSA 2008g). The stated intention was to review the MTSF annually during each mid-year Cabinet lekgotla (strategic conference), based on “new developments and experience in actual implementation” (RSA 2009e:1). Later, a Green Paper: National Strategic Planning (RSA 2009g) was published by the Planning Ministry in the Presidency, detailing an institutional framework for national strategic planning. The executive summary commented that government had made significant progress in establishing credible institutions and in extending basic services. Two governance weaknesses were identified: the lack of a coherent national plan and poor co-ordination across departments and provinces.

The creation of a National Planning Commission (NPC) was announced, consisting of experts who would work under the direction of the Minister for National Planning to produce a long-term plan for consideration by the Execu- tive; including the development of a Medium Term Strategic Framework every five years. Significantly, the Green Paper emphasised that national, provincial and local governments will need to integrate with the work of the National Planning Commission, to sustain a coherent vision, co-ordinated plans and budgets. Strategic policy differences soon emerged within factions of the governing political alliance, however. These strategic policy differences were exemplified in the divergent responses to the national Economic Development Department’s New Growth Path (NGP) (RSA 2010b), released in November 2010 after a year of preparation and consultation.

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The proposed New Growth Path policy highlighted that “employment creation is the…top priority; based on a growing consensus that creating decent work, reducing inequality and defeating poverty can only happen through a new growth path founded on a restructuring of the national economy to improve its performance in terms of labour absorption, as well as the composition and rate of growth” (RSA 2010b: 1). The NGP framework recommended that all spheres must prioritise programmes which support job creation and equity; towards fostering rural development, urban integration and economic growth.

Public reaction to the New Growth Path document has reflected lack of synergy with overlapping strategic planning documents, including the MTSF 2009-2014 and the National Development Plan 2030 (RSA 2011e); as well as contradictory ideological perspectives from significant stakeholders. Business leaders and the opposition Democratic Alliance supported the goal of job creation but rejected the scaled-up role for state interventions, arguing that “our public service has been so crippled by cadre deployment that we are a million miles away from the efficient bureaucratic elite required to skilfully manage such broad interventions” (Moneyweb 2010). Trade union federation COSATU (2010) issued its own macro-economic policy proposal, highlighting an alternative view of “the need to overcome mass unemployment by resisting capitalism” (Desai & Freeman 2010). Influential trade union NUMSA added its voice of rejection of elements of the NGP, arguing that the proposed New Growth Path and Treasury Budget Review are “unlikely to achieve the target of creating five million new jobs in the next 10 years, because of the conservative macro-economic package” (Mail & Guardian 2010).

Idasa political analyst Judith February (2012) commented that it seems as if South Africa has a “plethora of policies, plans and programmes, not yet quite finding their direction… we are up to our knees in policy.” The divergent macroeconomic policy directions driven by the two national ministries referred to above were effectively depicted in figure 4.1 below by cartoonist Zapiro (2010) in a national newspaper.

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Divergent economic policy directions

The contradictory economic governance ideologies and adversarial factional policy directions depicted here have also been reflected in dialogic interviews with national and Western Cape opinion-formers Strachan (2011), Winde (2011), Ehrenreich (2012), Gigaba (2012), Dugmore (2012) and Taylor (2012).

4.3.1.2 Local Government Strategies: complexities of co-operative government and results-based co-ordination

As discussed in earlier chapters, the Constitution (RSA 1996a) provides for quasi-federal political compromises between democratic centralism national direction and sub-national autonomy of provincial and local spheres of government; especially in terms of the status of municipalities, whose staff are not subject to the Public Service conditions of service. Reference has also been made to concerns expressed in Presidency reports about technical and managerial skills gaps amongst municipal officials, hampering effective basic service standards at community level; and in SALGA policy proposals seeking role clarity for governance stakeholders including councillors, ward committees and the two-tier system of district and local municipalities. Most significantly, the “curse of common competencies” referred to by Steytler (2003:7) has often complicated results-based governance accountability, leading to community confusion and negating the goal of “local government, committed to working

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with citizens and groups, to find sustainable ways to meet their social, economic and material needs”, as envisaged in the White Paper on Local Government (RSA 1998b: 17).

Adoption of the Five Year Local Government Strategic Agenda 2006-2011 (RSA 2006c) was heralded by national government as “a turning point for that critical sphere of our government, tasked with delivering services to our people” in the National Capacity Building Framework (RSA 2006d: i). This Strategic Agenda included Project Consolidate (RSA 2004b), a capacity-building programme managed by the Department of Provincial and Local Government (DPLG) to identify financial and technical skills gaps in poorly-performing municipalities and to assign experienced private sector consultants where necessary, with the aim of improving revenue flow and skills transfer.

Despite these extensive interventions, an extended Cabinet Lekgotla only a year later mandated a further new process of drafting a White Paper on Provinces (RSA 2007i) as well as a review of the governance principles of the existing White Paper on Local Government (RSA 1998b). After an extensive public consultation process which reflected significant opposition to the perceived intention of reducing the constitutional powers and functions of provinces, the proposed draft White Paper on Provinces was shelved and has not yet been revived (Clarke 2011).

The Department of Co-operative government and Traditional Affairs (CoGTA, successor to the DPLG) declared in its Strategic Plan 2009-2014 (RSA 2009h) that it would resolve the misaligned planning that existed between national, provincial and local governments as a fundamental problem. In doing so it would ensure that municipal Integrated Development Plans (IDPs) reflected the priorities of the entire public sector in the area and work closely with the National Planning Commission to ensure a “top-down cascaded implementation of national, provincial and local government priorities” (2009h: 4). Little time was wasted in gathering data on local governance inhibitors and obstacles from all provinces, in a Strategic Review of Local Economic Development in South Africa (Rogerson 2009); and later that same year in a State of Local Govern- ment in South Africa (RSA 2009i) assessment. This CoGTA report commented that despite the many interventions which had taken place “huge service

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delivery and backlog challenges in housing, water and sanitation; corruption and fraud; poor communication and accountability relationships with communities; weak civil society formations; political party issues negatively affecting governance and delivery; and insufficient municipal capacity, due to lack of scarce skills” (RSA 2009i: 4).

Research papers and widely-canvassed inputs were analysed by a CoGTA task team, which developed an ambitious Local Government Turnaround Strategy (LGTAS) (RSA 2010c) duly approved by the national cabinet, with the overarching aim of “restoring the confidence of the majority of our people in our municipalities, as the primary delivery machine of the developmental state at a local level”; and “rebuilding and improving the basic requirements for a functional, responsive, accountable, effective and efficient developmental local government” (RSA 2010c:2). Closely linked with the LGTAS programme, CoGTA senior management sought to consolidate the Municipal Management Skills Analyses project begun in 2008 by initiating research and development of a Staffing Norms and Standards Framework for various categories and sizes of municipalities, as a standardised framework which could be used by HR practitioners to facilitate a process in which the required ratio of competent employees per occupation to deliver acceptable results can be established (RSA 2010d & Greyling 2010).

Despite these well-motivated and necessary norms and standards for the promotion of results-based, competent municipal governance, Majiet (2012), Fast (2012), Rabbets (2012) and Barnard (2012) confirmed that limited sustainable progress has been made towards cost-effective city-regional implementation; and that significant use of professional consultants in municipal performance evaluation, organisation development and change management continues. The author, amongst other professionals, has recently been instrumental in facilitating ongoing PGWC-sponsored institutional performance support projects with large municipalities in the Cape Town City-region: Overstrand, Saldanha Bay, Drakenstein and the Cape Winelands District.

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4.3.1.3 Local Government: Municipal Strategic Planning and Performance Management Regulations

Following the introduction of Public Service results-based management systems and contingent remuneration strategies (see 4.3.2.1 below), similar performance management processes were introduced in the local government sphere. In terms of the Local Government: Municipal Systems Act (RSA 2000a), Integrated Development Planning, Spatial Development Frameworks and Performance Management Systems were introduced through the Municipal Planning and Performance Management Regulations (RSA 2001). These regulations included provision for a Performance Audit Committee of independent members accountable to the Council through its Accounting Officer, with a mandate to review periodic performance reports and make recommendations for the effective implementation of the municipality’s institutional and individual results-based management system aligned with national developmental performance objectives and indicators.

Based on the author’s professional interactions with auditing aspects of these regulations, pragmatic reservations are noted in terms of their complexity and cost-efficient implementation. De Visser (2005) of the University of the Western Cape Community Law Centre described public participation provisions of the IDP and their performance management criteria as “an overzealous piece of legislation that has missed any practical relevance” (2005: 106). He also pointed out the strategic disjuncture that by placing the performance monitoring role in the offices of the provincial MEC and the national Minister for Local Government, “the Municipal Systems Act appears to be premised on the assumption that local government is a line function of provincial and central departments” (2005: 183). Similar pragmatic reservations have been shared by several municipal governance stakeholders in the Cape Town City-region (Uys 2009; Majiet 2009; Fast 2010; Manuel 2010; Walker 2011; Qually 2011).

Since the 2009 inauguration of the Zuma Presidency, the initial polity honey- moon has been followed by sometimes acrimonious public debate between governing alliance partners around national vision and mission. Recent policy pronouncements have evidenced a reassertion of financial and economic orthodoxy. National socio-economic vision, mission and strategy are demon-

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strably not based on sufficient consensus; neither setting clear direction nor inspiring effective co-ordinated action (Gigaba 2012), as illustrated by fractious governing Alliance responses to the proposed New Growth Path (RSA 2010b) and Treasury Budget Review (RSA 2010e).

4.3.2. Accountability and Consequences for clearly defined results

While frequent definition of strategies and visions for achievement of New Public Management goals have become a feature of public life in the new South Africa, clear and consistent implementation of the Accountability and Consequences model factor has not always sustained clearly defined results. Examples of accountability policies and mechanisms include:

4.3.2.1 The DPSA Handbooks on Public Service Performance Management (RSA 2000b) and Development and Management of Performance Agreements (RSA 2000c)

These DPSA normative handbooks delineate policy on the implementation of results-based accountability approaches and include examples of a Perform- ance Agreement (PA) and Work Plan, aligned with principles agreed at the Public Service Co-ordinating Bargaining Council. Structured confidential interviews with a randomly selected cross-section of 15 experienced national and provincial public service managers during ETU/SAMDI induction massification seminars (2009) in the Western Cape indicated their appreciation of the potential value of these two Handbooks in terms of results-based accountability policies, Core Public Management Competence criteria (Table 4.1 below) and results-based management principles.

The key concern expressed to the author by the majority of these public service managers, however, was that their superiors were not necessarily competent in the negotiation of their performance agreements, nor were they consistent in providing managerial and institutional support for their required personal development plans (PDPs) for skills development and career pathing. This sample perception correlates with the more broadly-based findings reflected in Auditor- General and Public Service Commission reports later in this chapter, regarding inconsistent implementation of competence-based performance accountability policies and practices.

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“Core Management Competence criteria for Performance Accountability”

LEADERSHIP STRATEGIC THINKING & PLANNING DELIVERY OF RESULTS • creates and secures commitment to a • develops and influences strategic • defines results taking account of clear vision aims, anticipating future demands, customer / stakeholder needs • initiates and manages change in opportunities and constraints • manages relationships with pursuit of strategic objectives • demonstrates sensitivity to Ministers’ customer/other stakeholder effectively • is visible, approachable and earns needs and to wider political and • organises work processes to deliver on respect Departmental issues time, on budget and to agreed quality • inspires and shows loyalty • contributes effectively to strategic standards • builds and support a high-performing thinking of senior management • strives for continuous performance team • sees relationships between complex improvement and encourages others • acts decisively having assessed the inter-dependent factors to do so DIRECTION DIRECTION risks • reconciles day-to-day demands with • demonstrates high level project • accepts responsibility for the actions long-term objectives management skills of the team • translates strategic aims into practical • assesses and manages risks • demonstrated the high standards of and achievable plans • monitors performance and integrity, honesty and fairness • takes decisions on time, even in incorporates feedback in future plans expected in public service uncertain circumstances MANAGEMENT OF PEOPLE COMMUNICATION MANAGEMENT OF FINANCIAL AND • encourages staff from diverse • negotiates effectively and can handle OTHER RESOURCES backgrounds to develop their potential hostility • secures value for taxpayers money • establishes and communicates clear • is concise and persuasive orally and in • challenges existing practices and

& & standards and expectations writing leads initiatives for new and more delegates effectively, knowing when to listens to what is said and is sensitive • • efficient use of resources step in, and when not to to others’ reactions • negotiates for the resources to do the makes best use of skills and demonstrates presentational and • • job, in the light of wider priorities resources within the team media skills • uses management information to • gives regular face-to-face feedback • chooses the methods of monitor/control resources and recognition communication most likely to secure • manages contracts and relationships effective results • addresses poor performance with suppliers effectively • builds trust, good morale and • is comfortable and effective in a • demonstrates commitment to using IT MANAGEMENT

COMMUNICATION COMMUNICATION teamwork representational role as a resource • responds to feedback from staff • builds, maintains and uses an effective • secures commitment to change network of contacts through appropriate involvement of • develops appropriate language skills staff

Table 4.1: Source: DPSA Handbook on Public Service Performance Management RSA 2000b.

The national results-based governance accountability process is annually debated by the Cabinet Lekgotla, a strategic conference of ministers, deputy ministers, premiers and senior public service officials. The President then announces the annual programme in the State of the Nation Address (SONA) at the beginning of the Parliamentary year; and ministers present their departmental goals, plans and budgets to Parliament. This process allows for public debate in Parliament and the media, placing governance priorities, policies and strategic goals on record, for ongoing accountability to the legislature. A results-based developmental M&E system was initiated after 2004; and the role of Premiers’ Offices in Government-wide Monitoring and Evaluation was spelled out in a Good Practice Guide (RSA 2008h) to facilitate coherence and consistency between the national and provincial spheres. This accountability mechanism has subsequently been co-ordinated by the Ministry in the Presidency: Performance Monitoring & Evaluation.

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To gauge public perceptions of governance accountability, the Institute for Democracy (Idasa) undertook an extensive public opinion survey in 2001, using a 5-factor Democracy Index. The Idasa publication In the Balance? Debating the State of Democracy in South Africa (Graham & Coetzee 2002) described this Democracy Index as an attempt to “take the pulse of South Africa’s transition through a systematic and comprehensive assessment of the quality of democracy that, although still young, is growing up fast” (2002: 2). The findings of the Idasa Democracy Index include a chapter on Popular Control over Decision-Makers, in which analyst Ebrahim Harvey argues that the key principle of Accountability is not adequately provided for in the new Constitution: “Though citizens played a significant role in shaping the Constitution, it has weaknesses. The biggest is that the state will realise socio-economic rights only if available resources make it possible. This means… that the state is not under an obligation to satisfy basic needs.” (Graham & Coetzee 2002: 39).

4.3.2.2 Ministerial Delivery Agreements: Accountability Frameworks for Results-Based Governance Outcomes

As reflected above, effective implementation of South Africa’s results-based governance framework of key performance areas and developmental goals has been the subject of considerable debate and review since the installation of the Zuma Presidency in 2009. Several positive components of co-operative government and results-based management have emerged in terms of a sharpened focus on 12 Ministerial Delivery Outcomes. These Outcomes were then packaged into Delivery Agreements for the 5-year MTSF period and ceremonially signed by the accountable Ministers and the President, detailing required outputs, performance indicators, resources and action plans for achievement of the defined Outcomes. After the widely publicised deadline date for formal ministerial commitment to the Delivery Agreements, however, two of the twelve were not yet reflected on the Presidency website, a month later (RSA Presidency 2010).

These 12 national Delivery Agreement Outcomes, each with detailed outputs, intergovernmental action plans and indicators, were formulated as follows:

“Outcome 1: Improved Quality of Basic Education Outcome 2: A Long and Healthy Life for All South Africans 128

Outcome 3: All People In South Africa Are and Feel Safe Outcome 4: Decent Employment through Inclusive Growth Outcome 5: A Skilled and Capable Workforce to Support an Inclusive Growth Path Outcome 6: An Efficient, Competitive and Responsive Economic Infrastructure Network Outcome 7: Vibrant, Equitable and Sustainable Rural Communities and Food Security for All Outcome 8: Sustainable Human Settlements and Improved Quality of Household Life Outcome 9: A Responsive, Accountable, Effective and Efficient Local Government System Outcome 10: Environmental Assets and Natural Resources are Valued, Protected and Continually Enhanced Outcome 11: Create a Better South Africa and Contribute To a Better and Safer Africa and World Outcome 12: An Efficient, Effective and Development-Oriented Public Service; and an Empowered, Fair and Inclusive Citizenship”. Minister for Public Service and Administration Richard Baloyi (2010b) referred to ministerial Delivery Agreement 12 as a “negotiated charter”. According to the Minister (2010a & 2010b), this Delivery Agreement, which he signed as the accountable minister, reflected a commitment on the part of key departmental partners involved in the “direct delivery process to work together in undertaking activities effectively and on time” (2010b) in order to produce mutually agreed outputs. This, he emphasised, would contribute during the subsequent four years towards the achievement of Outcome 12 of national government’s Medium-Term Strategy.

Regarding access to services, Minister Baloyi (2010a) acknowledged that in some rural and city-regions many citizens still need to travel long distances to access service points, because government departments tend to plan their service access improvement initiatives in silos. This lack of intergovernmental coordination makes accountability for a combination of services difficult; though the process of collaborating to define cross-cutting action plans, interdepart-

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mental shared accountability and mutual commitment are being strengthened by the national Delivery Agreements.

The cost-effective implementation of these Delivery Agreements remains subjectively questionable, in terms of the significant changes required for sustained public governance results. Six months after the designated signature dates of the Agreements and launch of the New Growth Path, Department of Economic Development Director-General Levin indicated that “no new job creation statistics were yet available” (Levin 2011a); and the Outcome 12 Delivery Agreement document on the Presidency website reflected that ”baseline data for several sub-outputs were still To Be Decided (TBD)” (RSA Presidency 2011).

Similarly, the Human Resource Development Council of South Africa strategic plan (RSA undated c) for this national forum, chaired by the Deputy President, which is accountable for setting direction for vocational education and training strategy, had no vocational education and training strategic baseline data nor strategic targets set for co-ordination by the Council Secretariat (De la Rey 2011).

At Accounting Officer and departmental management levels, the annual public governance monitoring & evaluation reports of the Public Service Commission (RSA 2007c; 2008i; 2009j & 2010f) have reflected endemic non-compliance with required procedures for performance agreements and evaluations, raising concerns about realistic prospects for sustaining a culture of results-based public governance accountability. If these performance protocols are not effectively implemented, with the appropriate resources, controls and consequences, the comprehensive Ministerial Delivery Agreements will not justify the investment of months of intergovernmental negotiations.

4.3.3. Financial alignment of resources with mission, risks and outcomes

Aligned with national growth and development strategies, fiscal policy and budgetary reform has focussed on infrastructure investment and maintenance, broadening participation in the economy and improving the cost-effectiveness of services, including municipal Service Delivery and Budget Implementation Plans (RSA 2005e). Continuity of policy alignment and direction from succes-

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sive Ministers of Finance has facilitated this national focus on improved priority- based budgeting and reporting.

Treasury’s Technical Assistance Unit (TAU) has expanded its technical support capacity, particularly for aligning infrastructure planning and project management (RSA 2009c). Treasury Normative Measures (RSA 2007d) aim at efficient governance of the Public Finance Management (RSA 1999b) and Municipal Finance Management (RSA 2003b) Acts, including compliance and risk management. The Framework for Managing Programme Performance (RSA 2007e) has been closely aligned with the Government-Wide Monitoring and Evaluation system (GWM&E) (RSA 2000b), illustrated in figure 4.2 below.

Indicators of Governance Economy, Efficiency and Effectiveness

Effectiveness

Efficiency

Economy

Figure 4.2: Source: Treasury Framework for Managing Programme Performance Information: RSA 2007e

Financial governance alignment policy is effectively implemented by the Finan- cial and Fiscal Commission (FFC), a statutory institution established in 1994 to give expert advice to national parliament, provincial legislatures and organs of state on matters of intergovernmental finance, in pursuit of the co-operative government principle. The Constitution (RSA 1996a) also created an independent Reserve Bank and Auditor-General, setting out the precepts governing financial probity and accountability to Parliament. The annual performance planning and budget processes, are monitored by National and Provincial

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Treasury for transparent departmental planning, auditing and performance reporting to national or provincial legislatures.

Provincial MECs who are accountable for financial planning and management meet regularly with the national Minister of Finance in the Budget Council, which includes representatives of organised local government. The mandate of these forums is to ensure effective alignment and cohesion between national policy priorities, risk management and mitigation, the division of nationally- raised revenues and the budgeting for defined outcomes in provincial and local spheres. These forums also allow the three spheres to co-ordinate macroeconomic strategy, evaluate the financial performance of key national and regional programmes; and to agree on technical support initiatives for the achievement of national goals. (RSA 2009c & Haricharan 2010).

The Auditor-General of South Africa (AGSA) is one of six independent institutions defined in Chapter 9 of the Constitution (RSA 1996a) supporting constitutional governance, accountable to the National Assembly and other legislatures which have a statutory interest in the audit of national and provincial departments, public entities and municipalities. In presenting his Strategic and Budget Plan 2010-2013 (AGSA 2010a) to the Standing Committee in the National Assembly, Auditor-General Terence Nombembe stated that, as the country’s Supreme Audit Institution, the AGSA’s mandate and reputation promise is “ to strengthen democratic accountability and promote alignment of results-based governance in the public sector, thereby building public confidence”. While the primary focus of AGSA audits of public institutions and agencies is on financial compliance and regulatory audits, he confirmed that performance audits are being phased into the work plans, based on Treasury norms and the definition of S-M-A-R-T (Specific, Measurable, Achievable, Relevant, Time-based) performance objectives and indicators. Continual improvement of quality and timeliness of AGSA reports will seek to achieve adherence to required performance standards from 85% in 2010, to 87% by 2013 (Parliamentary Monitoring Group 2010a).

Available evidence indicates that the macro-economic measures and Treasury strategies applied in the face of the global economic crisis from 2007-2010 were effective in ameliorating the impact of the crisis on the SA nation state; although

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necessary micro-economic measures were implemented only after delays and factional debates; and then on too small a scale to address the rising unemployment scale timeously and directly (RSA 2010g). This lack of effective economic co-ordination was again reflected in the President’s State of the Nation Address (Parliamentary Monitoring Group 2012).

Alignment of financial resources with the national developmental governance mission since 1994 has been consistently orthodox and well-disciplined, from the Treasury–directed strategic and annual performance planning, through the rigorous requirements of the Public Finance Management Act (RSA 1999b); to the National Treasury Regulations for internal control and audit (RSA 2005c) which are applicable to all institutions and public entities. Even Foreign Direct Aid proposals, although only 1 percent of the South African budget, are aligned with national priorities by the Treasury International Development Co-operation (IDC) directorate, in order to optimise potential outcomes (Yaso 2010).

The constitutional and statutory mandates of National Treasury, Financial and Fiscal Commission, SARS, Auditor-General, Audit Committees, Special Investi- gations Unit (an independent statutory institution accountable for investigating serious maladministration, negligence and corruption) and other relevant institutions have generally been aligned and co-ordinated, in pursuit of defined national standards and goals. The Government-wide Monitoring and Evaluation system provides an institutional mechanism for ongoing alignment and resource management of key national development result indicators; and it is significant that a senior Treasury official was appointed Director-General of the new Performance Monitoring and Evaluation department in the Presidency. It is premature to assess how rigorously the Cabinet and Presidency will ensure the independence and credibility of these financial alignments, performance regulations, risk management and anti-corruption functions.

4.3.4. Recognition of effective leadership, governance and results

In considering the available evidence of results-based governance policy frameworks, discussion documents and reports referenced earlier, one may conclude that Binder’s (2005) results-based management principle of appropriate Consequences and Incentives referred to in chapter 3, is intrinsic to the processes and instruments adopted by the post-1994 South African state. The 133

need for credible recognition of excellent achievement is evidenced in the series of National Orders awarded to citizens and non-national friends of the country; as well as in public sector organisational awards for excellence and innovation. Recognition of results is also embedded in the complex range of regulations and handbooks relating to public performance management systems, across all three spheres, as described above.

Several institutional awards to recognise and motivate achievements amongst government agencies and departments have been introduced. One such example is the Vuna Awards (RSA 2003c); “an initiative of the Department of Provincial and Local Government in partnership with the Development Bank of Southern Africa, the National Productivity Institute and the South African Local Government Association”. Vuna is an Nguni word meaning Harvest Together; the word was chosen to recognise municipalities which are judged to be sowing the seeds of regional development, so helping to ensure a good harvest for the lives of people in South Africa’s local communities.

The Vuna Awards were introduced as an annual incentive campaign to recognise municipalities which exercise innovation and excellence in fulfilling their service delivery mandate. The Special Projects Head in the Ministry of Co- operative government and Traditional Affairs (Mahlawe 2010) expressed confidence that “many municipalities have responded to the Vuna Award challenge of making the most effective use of their resources to benefit their community stakeholders”, specifically in Local Government: Municipal Systems Act (RSA 2000a) key result areas including basic service delivery, financial viability, good governance, institutional transformation and local economic development.

Another high-profile governance excellence recognition series is facilitated by the Centre for Public Sector Innovation (CPSI), a component of the national Department of Public Service and Administration. The purpose of the annual CPSI Public Sector Innovation Awards is “to promote and encourage best practices in public sector innovation and service delivery and to celebrate the successes of teams and departments in the quest for a more effective, efficient and accountable government”. CPSI Chief Director: Research and Develop- ment (Schoonraad 2010) explained that “the Innovation Awards seek to recognise effective service delivery initiatives which have been achieved

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through the application of innovative approaches, methodologies and tools. The CPSI Awards provide opportunities for information sharing and learning; as well as possibilities for partnerships and replication of successful initiatives”.

Some South African public agencies and entities have supplemented their statutory individual performance recognition with an in-house recognition programme that reinforces organisational values and staff engagement. One of the most original is the South African Revenue Services (SARS) Amakhwezi (Celebrating our Stars) programme, which was launched in 2007 with the aim of recognising those staff members who stand out and shine the brightest. The Amakhwezi Manager’s Guide stated that “in a work environment that is increasingly under time and workload pressure, it is essential to recognise exceptional behaviour and results, fairly and consistently” (SARS undated: 3).

The programme was designed by the Achievement Awards Group (AAGroup), a South African company which specialises in staff motivation and performance improvement campaigns. The AAGroup Executive Director (Coltham 2010) explained that SARS work recognition categories include Initiative and Innova- tion, Service Excellence, Leadership and Teamwork. SARS employees are encouraged to nominate work colleagues for points towards an on-line cata- logue choice of merchandise awards which can be claimed after due assessment by the authorising manager.

Not as consistently effective, however, have been the design and implementation of the Performance Management and Development System (RSA 2000b) regulations in the national and provincial spheres; and those formulated for the local sphere, in terms of the Municipal Planning and Performance Regulations (RSA 2001) for performance improvement, evaluation and recognition. As described earlier, the principles, policies and required practices of the South African public sector performance management cycle and DPSA handbook guidelines are well-grounded and broadly in line with the exemplary international practices surveyed in chapter 2 of this thesis. Arguably, however, these performance regulations are administratively complex, and do not always sustain focussed motivation, skills development and timely recognition of high quality results. Efficient implementation, contingent consequences and effective interactions between executive authorities, accounting officers, senior

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management and staff, have not yet evidenced the desired sustainable results. The author’s personal experience as chairperson of provincial and local government audit committees, mandated for independent oversight and watch- ful scrutiny of financial and non-financial results-based management, has confirmed the observations made in several Public Service Commission (PSC) reports referred to later in this chapter.

Guidelines for the Evaluation of Heads of Departments (RSA 2008j) became necessary, when it was evident that alignment between departmental annual performance plans (APPs) and individual Accounting Officer performance agreements (PAs) was erratic. The State of the Public Service Report 2010 (RSA 2010f) reflected that no improvement had been achieved in the timeous completion of annual performance evaluations for appropriate recognition and consequences; in fact, the effectively completed proportion reportedly dropped from 56% in 2008/09, to just 51% in 2009/10.

The Western Cape Public Service Commissioner indicated his finding that of the provincial accounting officer performance agreements to be evaluated for their results achieved in the previous financial year, “not one contained a priority weighting of more than 15 percent for the achievement of their departmental service delivery outcomes” (Maharaj 2009). Based on this insight and the published concerns of the PSC Chairperson in his State of the Public Service report (RSA 2008i) reflected later in this analysis; it would seem, therefore, that recognition of results and appropriate consequences for effective managerial competence and capacity has not yet become a national governance norm.

4.3.5. Investment in people, to develop technical & managerial capacity

Investment in people has certainly been a consistently-stated governance goal, in the new South Africa. Soon after the inauguration of the Government of National Unity in 1994, one of the key results-based governance priorities identified was the integration of the various territorial public sector agencies into one representative public service; and the development of service skills, to meet the needs of all South Africans.

The White Paper on Human Resource Management in the Public Service (RSA 1997a) and the White Paper on Public Service Training and Education (RSA

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1998d) defined the need for “a comprehensive programme of policy initiatives underpinned by progressive legislative changes to achieve a Public Service which is representative of all the people of South Africa, holds public management accountable for their actions; and conducts its business transparently and ethically”. The White Paper on Human Resource Management described the policy change as “a shift from personnel administration to human resources management”; which “strongly promotes the development of departmental and provincial policies within the parameters defined by national policies” (RSA 1997a: 2). The purpose of the White Paper on Public Service Training and Education was to provide “a policy framework to enable public service training to be appropriate, adequate and accessible” (RSA 1998d: 3).

These White Papers were followed by a Baseline Implementation Guide (RSA 1999c), aimed at assisting Executing Authorities and Accounting Officers to implement the key features of the new Human Resource Management Frame- work, highlighting Eight Steps to Improved Service Delivery (RSA 1999c: 19). The DPSA Baseline Implementation Guide also included several specific procedures for the policy requirements and guidelines referred to in the White Paper on HR Management (RSA 1997a), the White Paper on Transforming Public Service Delivery (RSA 1997b) and the White Paper on Public Service Training and Education (RSA 1998d).

4.3.5.1 The White Paper on Affirmative Action in the Public Service This White Paper (RSA 1998c) followed soon after the White Paper on Human Resource Management, providing a policy framework in terms of which national and provincial departments should implement their affirmative action programmes, so building a Public Service which “will not only be geared towards providing better services for all sectors of our society, but will also enjoy legitimacy in the eyes of South African people” (RSA 1998c: 1).

4.3.5.2 Human Resource Development for the Public Service: Strategic Framework Vision 2015 (RSA 2008k)

In early 2008, the national Department of Public Service and Administration published a revised Human Resource Development strategy, based on factors highlighted in PSC State of the Public Service report evaluations, referred to above. In her foreword to the updated HRD Strategy, the Minister for Public 137

Service and Administration emphasised that “… the effective performance of public officials and the capacity of departments to deliver services are critical to all aspects of government’s agenda for transformation and development. The capacity to deliver lies in the ability of public servants to undertake their assigned responsibilities with the necessary level of skill, knowledge and commitment to serve” (RSA 2008k: 2).

4.3.5.3 The Public Administration Leadership and Management Academy (PALAMA)

PALAMA is mandated to provide public management skills development relevant to results-based governance needs and aligned to DPSA competence frameworks. PALAMA evolved in 2008 from the former SAMDI, with a strategy to develop results-based public management competence through a national network of accredited providers of leadership and management education and training. Mohlokoane, Chief Director: Business Development, outlined the PALAMA strategy to include “achievement of a marked increase in skills training for the public service in South Africa; dynamic partnerships with role-players such as provincial training academies, Higher Education Institutions, Further Education and Training colleges and the private sector” (RSA 2010h: 19).

4.3.5.4 Public Service Sector Education and Training Authority (PSETA) and Local Government Sector Education and Training Authority (LGSETA)

These SETAs were both established in terms of the Skills Development Act (RSA 1998e), promulgated “to provide an institutional framework to devise and implement national sector and workplace strategies to develop and improve the skills of the South African workforce”, within the National Qualifications Framework. The various SETAs are mandated to generate national standards for learning outcomes in their industry sector, using grants from the skills levy income to motivate compliance with workplace training standards.

In a “Critical Review of the National Skills Development Strategy in South Africa”, Kraak (2008) of the Human Sciences Research Council pointed to several reported concerns about the governance effectiveness of the SETA system, including lack of accountability to sectoral stakeholders. Qwabe and Pillay (2009) also argued that the extent to which the South African public

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sector can realistically evolve in an effective developmental state depends on closing the current public sector skills deficits.

In 2009 a review of the National Skills Development Strategy was followed by a decision to place four SETAs under administration, in view of serious concerns about their ineffective results-based governance. One of these four was the PSETA, which had two successive qualified audits by the Auditor-General; and was referred to as problematic by the Minister for Higher Education and Training (Parliamentary Monitoring Group 2010b & Qonde 2011).

This commitment to an active policy of investment in people has been reinforced several times in the first decade of the 21st Century, for application in all three spheres of South African government; including:

• Project Consolidate (RSA 2004b): a hands-on support and skills development programme launched by DPLG with international financial support, aiming to strengthen capacity in identified municipalities. Over 1280 technical experts were recruited and deployed between 2004 and 2008, to consolidate the municipal capacity and transfer requisite skills; and

• Project HR Connect (RSA 2007j): In 2006/07 a communication strategy for the Public Service skills database was implemented with the goal of developing the scarce and critical skills needed for basic service delivery improvement; though no reference was made to broadening or deepening the supply of technical and administrative skills, especially in provincial and local government spheres where effective capacity to meet frontline basic service delivery needs is paramount.

Is South Africa’s investment in people through the National Skills Development Strategy (RSA 2011a) evidencing adequate results, in terms of public service management and technical skills standards and job creation opportunities? Or has cadre deployment facilitated the arbitrary movement of governing party officials into positions which maximise the fluid relationship between state and party? One may refer to the professional opinion of the AGSA Head of Audit Operations, in her report to the Parliamentary Standing Committee on Public Accounts. She placed on record that “HR management deficiencies had been red-flagged in nine out of ten government departments”; and that one of the

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deficiencies was that “many departments have no human resource development plan” (Parliamentary Monitoring Group 2010c).

4.3.6 Community engagement, empowerment and co-ordination The Constitution (RSA 1996a) is explicit in defining the core values and principles governing community engagement in the new nation state. Section 195 (1) (e) for instance, requires that “people’s needs must be responded to, and the public must be encouraged to participate in policy-making”. In the White Papers on Transformation of the Public Service (RSA 1997b) and on Local Government (RSA 1998b), the emphasis on community engagement is noted in the policy of “government committed to working with citizens and groups within the community, to find sustainable ways to meet their social, economic and material needs” (1998b:08).

One would expect, therefore, to find extensive evidence since 1994 of significant changes in service policy consultation and engagement, enhanced access to services, public education and transparent sharing of information regarding plans, resources, achievements and lessons learned. Such efforts in “bringing government closer to the people” are noted in the development of Thusong Service Centres (ultimately planned for multi-departmental service access within all municipalities); the deployment of Community Development Workers (CDWs) to strengthen communications between the governed and government; and in the training of Ward Committees, intended to inform and advise local municipal councillors and officials on community service priorities.

One of the first national service-related programmes implemented was that of Batho Pele (seSotho for People First), central to the strategy of transforming the public service to serve all citizens and aimed at instilling a new customer-centric service ethic in meeting the needs of historically disadvantaged communities. Considerable time, public funding and governance energies were invested in promoting the 8 principles of Batho Pele results-based service standards nationally and provincially by the Department of Public Service and Administration; which has continued to promote these principles through change management engagement workshops and Service Delivery Improvement Plans (SDIPs). The Batho Pele Change Management Programme (RSA 2010a: 275) was also rolled out in 2008 to 55 municipalities, seeking to

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“change the behaviour of officials, towards a focus on enhanced local service delivery”.

In the South African Social Attitudes Survey (SASAS) 2007 series by the Human Sciences Research Council, Hemson and Roberts (2008) examined “citizens’ attitudes to Batho Pele, government's statement of public service principles”. They assessed citizens’ responses to the principles in practice and found that community attitudes varied according to each principle but ( taken as a whole), found that “there was a significant gap between principle and practice”. In the context of the developmental state and continuing protests over local service delivery, ”the deficiencies of community communication in planning, quality of services and response to complaints were often highlighted”. Community participants in the SASAS 2007 survey were asked to respond to a range of positive statements about public service quality, relating to each of the eight Batho Pele principles.

The SASAS 2007 survey findings (Hemson & Roberts 2008) indicated that people saw significant deficiencies between the stated principles and actual practice. They reported that “greatest disagreement with the positive survey statement related to Consultation (Batho Pele Principle 1), which indicated that this was the main gap in effective implementation. The least disagreement was with Setting Service Standards (Principle 2) and Increasing Service (Principle 3)”. Little agreement was evident in the survey results that all these aspects of effective communication were perceived to be in place.

Although these responses hardly indicated approval, “the lowest levels of dissatisfaction within this more poorly served sector were seen in relation to increased access to services; an acknowledgment that efforts have been made”. The SASAS 2007 survey conclusion, therefore, was that “the areas of greatest need of improved community engagement and service delivery results – urban informal settlements and rural communities - were experiencing the lowest level of perceived public consultation, redress, openness, timely information and courtesy”.

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4.3.7. Accessible data & evidence for planning, monitoring & evaluation

Throughout this analysis of South African policies and strategies for results- based public governance and developmental management, the need for coherent planning, meaningful monitoring and actionable evaluation has been consistent. What has not been as consistent, however, is the efficient accessibility and effective use of relevant decision-making data and portfolios of evidence for use by political leadership, operational management and oversight bodies. Patton’s (1997:9) utilisation-focussed principle of “intended use by intended users” will certainly be relevant in the evidence-based, developmental governance context of this formative evaluation.

4.3.7.1 The Presidency: Policy Framework for the Government-Wide Monitoring & Evaluation System (RSA 2007f).

In 2005, the national Cabinet approved an implementation strategy to develop a Government-wide Monitoring and Evaluation (GWM&E) system for use across all spheres of government, noting that the Development Indicators being monitored by the Presidency Co-ordination and Advisory Services (PCAS) needed to ensure reliability and validity of national data.

After aligning several National Treasury and departmental M&E systems in 2007 and with the experienced professional guidance of the World Bank Inde- pendent Evaluation Group (IEG), the Presidency launched this GWM&E Policy Framework to a multi-sectoral Learning Network in Pretoria. In introducing the concept of GWM&E at institutional level, the Chief Director of this function (Engela 2007) acknowledged that the components of the GWM&E system needed to be well integrated with other public governance processes, such as the National Treasury’s Medium Term Expenditure Framework; Departmental Annual Performance Plans (APPs); In Year Monitoring; Human Resource Planning; Annual Reporting and Monitoring; as well as municipal Integrated Development Plans and performance management systems.

National institutions have constitutional mandates to “ensure effective planning, implementation and reporting of defined performance monitoring and evaluation information”. In the provincial sphere, the Constitution (RSA 1996a) section 125(1) vests the Office of the Premier with the executive authority, including the

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requirements for Provincial Growth and Development Plans (RSA 2005d) and implementation of Chapter 3 of the Constitution, regarding co-operative government. These results-based governance mechanisms in the Cape Town City-regional context are assessed in chapter 7.

4.3.7.2 The Public Service Commission (PSC), with its annual State of the Public Service (SOPS) reports

The PSC and its reports on institutional performance policies and systems, have become a respected monitoring and evaluation institution as the Custodian of Good Governance in the national and provincial spheres. Accountable directly to Parliament in terms of Chapter 10 of the Constitution, the PSC has the mandate of ensuring that developmental public governance is informed by the values, principles and practices enshrined in the Constitution. The Commissioners interact regularly with Executive Authorities and Accounting Officers in monitoring, evaluating and reporting, to promote these values, principles and practices.

The Public Service Commission has vigorously promoted the need for effective managerial performance monitoring & evaluation in the public sector, to empower results-based management and accountable governance, as highlighted by PSC Deputy Director-General Indran Naidoo in From Policies to Results (UNICEF 2010). The comprehensive PSC “Report on the Audit of Reporting Requirements and Departmental Monitoring and Evaluation Systems within national and provincial government” (RSA 2007g) “stems from a recognition that there has been a vibrant debate on the role that monitoring & evaluation can play in deepening our democracy and improving performance of the South African Public Service” (2007g: foreword).

The annual State of the Public Service Reports, presented and debated in Parliament, have documented the Commission’s findings and recommendations since 2001. In the 2008 SOPS Report (RSA 2008i: ii), PSC Chairperson Sangweni emphasised the PSC’s role of critical engagement towards the results-based governance goals of developmental democracy; echoing similar comments by the Auditor-General: “there needs to be an honest consideration of why qualified audit reports continue to persist in certain departments, and why performance evaluation at the level of Heads of Department is still not 143

receiving adequate attention; as the third Presidential term draws to a close, these issues must be tackled and resolved. There is no reason for the cycle of poor performance management not to be broken, decisively” (2008i: 67).

4.3.7.3 Evidenced-based Planning, Monitoring & Evaluation: are there adequate data sources for results-based governance?

Initially driven by National Treasury planning and programme performance monitoring, then from 2007 led by the Presidency GWM&E system referred to above, the repository of developmental indicators has become a recognised resource for national policy analysis and planning. Gaps in valid data from local and provincial spheres were a cause for executive authority caution in making strategic comparisons at that time, as was emphasised by the Western Cape Local Government and Housing MEC (Dyanti 2008). Substantial progress with the quality and accessibility of socio-economic developmental data has been made in recent years, nationally and in the Western Cape Department of the Premier. Sources of relevant and valid results-based governance data now include:

• Statistics South Africa (Statistics South Africa online 2010): In partnership with other government agencies, StatsSA has developed considerable expertise in collating and distributing socio-economic data from its own research as well as selected publications, in its weekly on-line newsletters; as well as conducting a 10 yearly national Census and supplementary Community Surveys, which provide credible public data in the RDP domains of “meeting basic needs (housing and services, water and sanitation, energy and electrification, telecommunications, health care, social security and welfare, tenure status) and developing human resources (education and training standards, arts and culture, sport and recreation, youth development)”. The StatsSA National Statis- tics System and Compendium of Indicators are aligned with Millennium Devel- opment Goals and national MTSF objectives;

• The Presidency (RSA Presidency 2010): Already the repository of broad strategic results-based governance data since the formalisation of the GWM&E system in 2007 and “Towards a Fifteen Year Review” (RSA 2008a), the creation in 2009 of the new Ministries for National Planning and Performance Monitoring

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and Evaluation signalled the goal of strengthening centralised availability of data for planning and programme management; and to enhance the capacity of the Executive to monitor performance indicators across all three spheres. The National Planning Commission civil society members, appointed for the period 2010-2015, draw on the data for longer term scenario planning, development indicators and policy recommendations; while the PM&E officials focus on more immediate data interpretation, largely linked with the outcomes defined for the 12 Delivery Agreements (Taylor 2012);

• National Treasury (National Treasury 2010): As a well-oiled financial management machine, with a reputation for efficiency and fiscal prudence, the Treasury website provides a wide range of accessible information regarding the current Medium Term Expenditure Framework (MTEF), national and provincial budgets and policy documents for public information. International sources consulted by the author, including associates in the American Society for Public Administration, speak highly of the quality, relevance and accessibility of South African Treasury data;

• Public Service Commission (RSA 2007c) and Auditor-General of South Africa (Auditor-General of South Africa 2010a): Both these constitutionally mandated institutions regularly evaluate the financial and non-financial performance of government departments and agencies; their governance reports are transparently in the public domain for citizen information, potential investors and comparative assessment of departmental, municipal or programme cost- efficiency. PSC and AGSA reports to Parliament are accessible through the independent Parliamentary Monitoring Group site (www.pmg.org.za), which publishes institutional information presented to parliamentary oversight committees;

• Departments of Public Service and Administration (RSA 2010j) and Co- operative government and Traditional Affairs (RSA 2010k): While the assurance has been given by the Presidency that regular and transparent progress data on their respective Delivery Reports will be published by all departments, in terms of the specifically defined indicators and outputs, these two national departments are highlighted because of the public governance and results- based management centrality of their mandates. An example of the anticipated

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openness of such management data was the Progress Report on the Delivery Agreement for Outcome 12 (Parliamentary Monitoring Group 2010d); and

• Human Sciences Research Council (www.hsrc.ac.za), Council for Scientific and Industrial Research (www.csir.co.za) and Development Bank of Southern Africa (www.dbsa.org): These three institutions have earned reputations for their relevant research and development, reliable information and professional interpretation of data in their respective fields of expertise. Examples of their contributions to effective public governance and management in South and Southern Africa include: the South African Social Attitudes Survey (SASAS) series, conducted by the HSRC since 2003; the National System of Innovation, to which the CSIR’s scientific research and technology transfer initiatives make regular inputs; and the Infrastructure Barometer (DBSA 2008), a respected source of results-based urban governance data for investment-led policy scenarios.

An area where accessible and reliable data for South African governance planning and management implementation is assessed as deficient, relates to in-migration to city-regions by rural citizens and foreign nationals. The City of Johannesburg (2006:28) Development Strategy illustrated the difficulty of gathering such strategic data for municipalities, in order to fulfil their results- based developmental governance mandate of cost-efficient urban planning, in getting to grips with poverty pockets, provision of public transport, social housing and primary health facilities.

Preliminary assessment of the implications of these national and provincial regulatory institutions and their potential value for effective city-regional planning, spatial and socio-economic results-based governance indicates that a range of well-intentioned national departments, agencies and entities are in place, each with relevant mandates and needed resources. Whether their respective mandates and resources are effectively focussed for achieving integrated and co-ordinated co-operative government of South Africa’s rapidly growing city-regions, however, remains a moot point. This results-based governance perspective will be analysed and assessed in more specific detail, in chapters 6,7 and 8.

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4.4 CONCLUSION: TURNING PUBLIC GOVERNANCE INTENT INTO SUSTAINABLE RESULTS-BASED DEVELOPMENT MANAGEMENT

Does objective assessment of South African public governance and equitable socio-economic development indeed indicate evidence of enhanced results? How does South African civil society rate constitutional progress towards meeting their democratic governance hopes and expectations? In analysing the post-1994 trajectory towards realisation of the developmental vision of the 1996 South African Constitution; and in the process of applying the S-A-F-R-I-C-A public performance model to assess the results-based governance policies, strategies, institutions and significant changes surveyed in this and the previous chapter, it is evident that public governance prioritisation, accountability, oversight and effectiveness in post-1994 South Africa is, to borrow the former Brand SA Marketing Council slogan, Alive with Possibility.

The Human Development Report (UNDP 2011) indices were based on three basic dimensions which together indicated that South Africa’s overall ranking had improved by one position, to 123rd of 180 participating countries, largely owing to improvements in the gender equality and multidimensional poverty indices. The UNDP report cautions, however, that inter-year comparisons are not necessarily valid, because of changes in relevant data from participating countries. This marginal progress correlated with current data in the Presidency Development Indicators of 80 measures, grouped into 10 categories (RSA Presidency 2011). Progress was also recognised by the South African Devel- opment Index (SADI), an initiative of the South African Institute of Race Relations (SAIRR 2011), tracking six key developmental indicators, namely: the economy, education levels, health, living conditions, gender and crime.

Despite (or perhaps because of) the plethora of policy reforms, White Papers, new strategy launches, well-publicised ministerial roadshows and multiple makgotla, limited evidence is available of sustained significant changes in effective inter-governmental strategic integration, planning and developmental co-ordination. The four essential criteria of sound public governance (Hyden & Braton 1993) referred to in chapter 1 of this thesis, are by no means embedded in the new South African legislative and executive culture, as was reflected in the Centre for Policy Studies policy brief “Rating the effectiveness of legislative

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oversight methods and techniques” (Rapoo 2007). Civil society misgivings and hopes for prospects of enhanced policy engagement and effective implementation were insightfully assessed by Friedman and McKaiser (2008).

In fact, professional assessments by the author during recent organisation development consultations in three national departments (Higher Education & Training, Rural Development & Land Reform; and Co-operative government & Traditional Affairs) typically evidenced vague performance agreements, often without the required S-M-A-R-T objectives and personal development plans. Lack of effective public governance cohesion between those Delivery Agreements relating to sectoral job creation, vocational education and skills training targets was also noted in these departments. Further, the inconclusive baseline measures for public service enhancements in Delivery Agreement 12 (RSA Presidency 2011) suggest that South African national results-based governance planning and regulatory implementation standards are not yet approaching the anticipated significant change levels of collective understanding, executive competence and accountable commitment to results.

The Western Cape Provincial Treasury Head referred to the “political controver- sies that have bedevilled our attempts to develop symbiosis as an honest broker of a common developmental framework” (Stegmann 2011). In his view, the concept of functional city-regional development governance is quite feasible, with successful intergovernmental examples in Spain, Brazil and Hong Kong. Alluding to scope for future results-based governance, he indicated that “regional performance–based budgeting in the Western Cape has seen some significant improvements, but it is a slow process with political and administrative factors impacting on it. Constraints in South Africa are lack of attention to detail and totally inadequate supporting systems. Both of these will take years, if not decades, to fix” (Stegmann 2011).

Subsequent chapters of the present study focus more specifically on developmental governance constructs, typologies and competences of city- regions in various cross-national contexts; and thereafter on a situational assessment and results-based governance formative evaluation of the rapidly- growing Cape Town City-region, in the politically and culturally heterogeneous Western Cape province of South Africa.

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CHAPTER 5

CITY-REGIONAL COLLABORATION AND GOVERNANCE: MANIFESTATIONS AND MANAGEMENT MODALITIES

5.1 INTRODUCTION: CITY-REGIONAL GOVERNANCE IN CONTEXT

This chapter reviews the evolving geo-political construct in the epistemic community of a functional city-region, assessing a focussed range of international contexts for city-regional growth and collaborative governance, in order to identify commonalities and differences in their metropolitan motivations, public governance approaches and developmental management modalities, potentially relevant to the “globally competitive aspirations” (Boraine 2011) of the Cape Town City-region.

Metropolitan socio-economic dynamics and the special challenges of urban public governance were recognised by Bollens and Schmandt (1982). As is evidenced in this chapter, city-regional governance in many parts of the world reflects a seemingly inexorable gap between conventional municipal approaches and increasing urban problems of informality, poverty, inequality, rapid in-migration and spatial fragmentation. This is particularly evident in city- regions of the global South, as Watson (2009), Zarate (2010) and UN-HABITAT (2010a) compellingly pointed out; and as Pieterse (2012) discussed in terms of “the conflicting claims and politics of informality which characterise Southern Urbanism”. This chapter’s cross-national explication of city-regional collaborative governance typologies, forms and functions provides a basis for analysis and assessment of the Cape Town City-regional parameters, socio- economic growth initiatives and results-based developmental public governance institutions, in subsequent chapters.

“The beginning of the 21st Century is an exciting time for those wanting to understand the city”, observed Eade and Mele (2002: 3); because the cutting edge of urbanisation research is an ongoing transdisciplinary practice, corresponding to complex changes in the socio-economic world (globalisation, urban migration and post-colonialism amongst others). The nature of cities and their

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contiguous regions has increasingly been deemed to require the development of specific ideas to describe and explain them, in what is collectively termed urban theory (Hubbard 2006).

The metaphor of “resilient cities” was promoted by Pickett, Cadenesso and Grove (2004:373), calling for “urban designers, ecologists and social scientists to forge closer links among their disciplines, recognising the role of spatial heterogeneity in the social and ecological functioning of major conurbations, distinct from their administrative jurisdictions; and noting the integrative power of watersheds, socio-economic and ecological patch dynamics in many metropolitan regions”. Another key urbanisation governance insight was reported from the fifth session of the World Urban Forum held in Rio de Janeiro in March 2010; Ramirez (2010) of “Habitat for Humanity Latin America”, in exploring “the concept of the city-region in the developing world”, commented: “let’s not define the city as urban territory; let’s rather call it a space for citizenship” (2010:3).

In a foreword to The State of African Cities 2010, UN-Habitat Director Joan Clos (UN-Habitat 2010a) pointed out the irony of African city-regional life: urbanisation is jump-starting industrialisation; and the 40% of Africa’s population which now lives in cities produces 80% of its GDP. Yet more and more Africans are forced into informality, because their living environments are defined by unregulated, non-serviced urban settlements and slums. Graham (2010: 2) estimated that well over 50% of the world’s population currently live in cities; and projected that 75% of the world’s total population was expected to live and work in city-regions by the year 2050. The overwhelming majority of these 6.75 billion urban residents, Graham predicted, will be in the burgeoning city-regions of the developing world in Asia, Africa and Latin America (2010:2).

Reinforcing this perspective in his comprehensive study of the development patterns and potential of major African cities, Freund (2007) explored “many indicators of why African urban life has burgeoned; and how present-day African city-dwellers cope in difficult socio-economic times”. He emphasised “the significant extent to which the future development of African society and culture will be played out, mostly within the lifestyle expectations and governance challenges” of the continent’s city-regions.

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In similar vein, Pieterse (2008), writing from the perspective of the global South, argued for urbanisation policies which confront the root causes of social and economic inequality in developmental city-regional governance: “irrespective of how difficult and brutal contemporary cities may seem, there remains a great deal that we can imagine and do, to alter dramatically their future prospects” (2008:13). In a subsequent paper presented at the first South African Confer- ence on Cities, Pieterse (2009b) highlighted the need to find ways to cross- pollinate the African urban studies literature, strengthening urban civil society in order to optimise community resilience and promote sustainable development in Africa’s burgeoning city-regions.

Swilling and Annecke (2011:5) estimated that “no less than 62% of all urban dwellers in sub-Saharan Africa live in slums, compared to Asia where the proportion varies from 43% (Southern Asia) to 24% (Western Asia) and Latin America, where slums make up some 27% of the urban population”. Pursuing their agenda of social justice and sustainability in African urban development, they argued that “urban researchers and the sustainability community have failed to recognise the significance of the vast networked urban infrastructures that connect everyday living and working, to the natural and informational resources that urban dwellers depend on in a variety of ways, in the developed and developing worlds” (2011: 5). They concluded that “the majority of cities in Sub-Saharan Africa are, therefore, slum cities; and given the fact that annual urbanisation rates in Africa have been estimated as the highest in the world at 3,3%” (UN Habitat 2008: 5), the governance and developmental challenges of city-regions in Southern Africa will be evident for the foreseeable decades.

Urbanisation scholars have in recent years recognised the need for contextual strategies for effective city-regional governance and growth. These have included Innes, Booher and Di Vittorio (2010), whose in-depth study of Californian metropolitan regions highlighted the many interdependencies in their economies, yet with “hundreds of jurisdictions, federal and state sectoral agencies and regulatory bodies, making independent and sometimes conflicting decisions” (2010: 56); and with no over-arching institution accountable for optimising the city-region’s overall resources and integrated governance.

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The ethics and effectiveness of cost-effective instruments for democratic accountability in city-regional planning and governance networks have also been studied by Beckett and Godoy (2010) with reference to crime and quality of life initiatives in New York and Bogatà; and by Holmen (2010), in terms of potential lack of regional governance transparency. Katz (2010 & 2011), director of the Washington DC-based Brookings Institution Metropolitan Policy Program, declared that “the world has arrived at a Metropolitan Moment; for the first time in history, cities and their metropolitan environs … represent the true economic geography” (2011: 1). Katz argued that metropolitan city-regions concentrated unique public assets and economic clusters which defined regional governance, growth and competitiveness; and were also the vehicles for environmental sustainability and social inclusion. Strategic land reform on a city-regional scale in Brazil has yielded significant socio-economic cost-benefits, combined with inter-governmental and intersectoral co-ordination, as described by Souza and Silva (2011). These represent approaches which may yield similar results in the South African city-regional governance context, based on the relevant international experiences cited in this chapter.

Although the concept of city-regional governance is relatively new in South Africa, the politics of city-region planning and governance are certainly not unknown in many parts of the world (Tewdwr-Jones & McNeill 2000). Some years ago Boyle (1997) argued that the rise of performance planning and evaluation in the city-regional governance environment has different roots, within differing socio-economic, cultural and geographic contexts. While he acknowledged “the influence of the OECD and the EU in the form of a more results-orientated approach to public service management” (1997:52-53), Boyle suggested that “the Irish results-based governance rationale was very different from those in Britain, Australia or New Zealand”.

This view was endorsed by Murray (2001), who placed “Ireland, Canada, Finland, the Netherlands, Denmark and Sweden amongst a group of modernisers which maintain a belief in a major developmental role for the state, while initiating fundamental change in the city-regional administrative apparatus”, concerned that it is potentially dangerous to lag behind in today’s competitive global environment. The author’s professional interactions,

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academic seminars and interviews with city-regional and county officials from Curitiba (Brazil), Organisation of Economic Co-operation and Development, United States of America, Regina (Canada), Stockholm (Sweden) and Gauteng (South Africa) have confirmed this insight, as exemplified in this chapter with a view to analysing the socio-economic aspirations, organisational power (Clegg, Courpasson & Phillips 2006), institutional resilience and sustainability of Cape Town City-regional results-based developmental governance initiatives.

5.2 TYPOLOGIES OF CITY-REGIONAL GROWTH

Research within the European Regional Science Association (ERSA 2011) has indicated that the socio-economic performance of major city-regions is closely linked to the performance of their national economies. The national economy, however, can also depend on the performance of one or more major city- regions which act as growth poles in that country. Because of their sectoral structure and other socio-economic characteristics, some cities and their adjacent regions are better equipped to become growth poles than are others.

An ERSA / Cambridge Econometrics (CE) paper on the typologies of city- regional growth (Thomas & Robins 2005) studied 46 major city-regions across Europe. Changes in the sectoral structure of city-regions were studied using data from Cambridge Econometrics’ European Regional Database. The data analysis attempted to explain city-regional performance and growth potential by drawing parallels between economic sectoral structure and socio-economic performance; and discussed the extent to which the sectoral structure could explain why some city-regional economies grow faster or more sustainably than others. This assessment led to the formulation of typologies or groupings of city- regions according to sectoral specialisation. These sector-based typologies were then supplemented by local evidence related to trends, initiatives, particular conditions and the ways in which the socio-economic governance of some cities sought to take advantage of existing sectoral specialisations; or to develop new specialisations which promoted growth (2005:3).

The aim of the Cambridge Econometrics paper was to develop city-regional typologies using, broadly, two types of information provided in European

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Regional Prospects, an annual CE research report, which covers 46 cities in the EU25, Norway, Switzerland and Russia. The first stage was data analysis, which concentrated on the sectoral structure of city-regions, to see if those with faster-growing economies have any common sectoral features. The second stage examined local evidence, in search of explanatory features which may not have been obvious from the initial data analysis. The four core typologies of city-regional features which the CE study found can indicate their regional socio-economic resilience and sustainability, were defined as follows (2005: 9):

• Knowledge-based economy;

• Specialisation in an industry;

• Export orientation; and

• Urban Networks.

It was also clear in the ERSA / Cambridge Econometrics findings, however, that city-regional growth was influenced by the national macroeconomic conditions. For example, London had grown much faster in both periods than Paris; correlated with the respective national economies of Britain and France. Similarly, the German and Italian city -regions had underperformed, especially since the mid-1990s. The differences in macroeconomic conditions complicated links between defining the typologies and economic performance of the 46 city- regions studied. The few city-regions which had relevant features from all four typologies (London, Stuttgart and Paris) had very different growth rates in the decade studied. The same was true of city-regions with combinations of the typology features. Within countries, the features did seem to matter, especially if several were present in one city. In Germany, for instance, Munich and Stuttgart - both of which had three or more of the typology features - performed better than the rest of the German cities, because of their involvement in knowledge-based industries and their specialism in industries which had wider export markets. Another such example was in France, where Lyons, Toulouse and Marseilles had grown faster than all other French city-regions. This was because of their involvement in knowledge-based and specialist transport equipment industries (Airbus in Toulouse and Eurocopter in Marseilles). Lyons and Marseilles also benefited from the well-developed urban networks in their

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city-regions; as did the twin cities of Copenhagen (Denmark) and Malmö (Sweden), separated by a narrow stretch of sea, yet symbiotic cities which complemented their commercial and cultural assets in a regional socio- economic partnership.

These city-regional typologies offered several rules of thumb for identifying drivers of sustainable growth, although factors such as general socio-economic conditions could also promote growth in city-regions with no special expertise. Furthermore, balanced cities have features from more than one typology group.. When considering at cities and contiguous regions within a country, however, the Thomas and Robins (2005) study for the European Regional Science Association concluded that the four typologies discussed can indeed be useful in identifying which factors typically drive sustainable city-regional socio- economic growth. Their typology model will be relevant in analysing and assessing current results-based developmental governance initiatives in the Cape Town City-region.

5.3 CITIES FOR CITIZENS: IMPROVING METROPOLITAN GOVERNANCE

By 2000, studies undertaken within the Organisation for Economic Co-operation and Development led to the preparation of a “Statement on Governance” (OECD 2001b) which declared that “effective systems of governance are essential for promoting economic prosperity, social cohesion and environmental sustainability. They are also essential for strengthening pluralist democracy, ensuring equal opportunity for the full participation of all people (including men and women) in the economy and society; and for maintaining confidence and trust in public institutions” (2001b: 2).

The OECD “Statement on Governance” (2001b) noted, however, that “at the dawn of the 21st Century, public governance capacities were being stretched and challenged in many member and associate countries. The magnitude of this governance challenge was particularly impressive in large metropolitan city- regions, which were in the front line of change”. The report Cities for Citizens: Improving Metropolitan Governance (OECD 2001a) surveyed a range of metropolitan city-regions in several OECD countries and found that “as globalisation

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progressed, urban regions were emerging as key players in the world economy, making an important contribution to national economies”. The pursuit of city- regional competitiveness had become a key local and national governance objective, as has also become evident in the South African polity.

Effective governance for more competitive and liveable city-regions was identified as “a major dilemma for the leaders of metropolitan areas; elected officials have to strike a delicate balance between development and redistribution; between international objectives and local aspirations” (OECD 2001a: 11-13). “Strengthening the feeling of belonging in the city-region and shaping a collective identity amongst the various local communities” was mentioned as a key goal of developing a culture of metropolitan governance. The OECD (2001a) Improving Metropolitan Governance report and the subsequent Building Competitive Regions: Strategies and Governance (OECD 2005) study highlighted that city-regional competitiveness and liveability were increasingly perceived as two sides of the same coin; and “recognised that there was no one ideal model of city-regional public governance”. Towards achieving these twin goals, however, the OECD report (2005) assessed the “role of the following governance factors in the competitiveness and liveability of any functional city- region:

• stronger region–wide metropolitan government;

• improved co-ordination and integration of sectoral policies;

• area-based service provision partnerships;

• scenarios, indicators, monitoring and evaluation of projects;

• governance and strategic planning to support more cost-efficient, sustainable urban development;

• new digital technologies for the information city; and

• better orientation of urban research agendas” (OECD 2005: 27).

Similar principles of city-regional governance were also highlighted by Pedersen, Schested and Sorensen (2011) in their paper entitled Emerging Theoretical Understanding of Pluricentric Co-ordination in Public Governance, which has provided a framework for formative evaluation of Cape Town City-

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regional public governance plans and progress, in subsequent chapters. The following commonalities and indicative insights into city-regional governance have been selected in terms of their potential relevance to the evolving Cape Town City-region, based on the author’s professional research and active participation in urbanisation study tours and seminars.

5.4 CURITIBA, BRAZIL: CORE CITY FOR REGIONAL INNOVATION

A South African fact-finding team of urban planning and governance professionals, of which the author was a member, visited the Brazilian city of Curitiba in June 1994, to assess the innovative urban and city-regional planning, social housing, public transport and community development factors which had generated considerable urban governance interest in South Africa and other countries in the Global South. The purpose of the city-regional study report Curitiba: Lessons for South African Cities (MLH Architects and Planners 1995) was threefold: to summarise the most important findings of the study team which visited the Curitiba city-region; to share the important lessons and principles which could benefit South African cities; and to inform the country’s leaders in every sphere of government of these principles, so that they might influence and guide governance policy and developmental decision-making.

The Curitiba city-region report (MLH 1995) reflects that this urban hub of southern Brazil included 2,6 million people, of which 1,3 million were located in the core city itself. In comparative terms, the Curitiba city-region is about as old as Cape Town and approximately the same size. The city of Curitiba became a major service and transport centre during the 1940s coffee boom in the Paraná state of southern Brazil. As a result of the rapid city-regional population growth through in-migration from other states in Brazil, as well as from Italy, Poland and Portugal, the municipal authorities began to look at how to accommodate the urbanisation and manage its socio-economic development. During the study tour, organised by the Jaime Lerner Institute (named after the innovative former mayor of Curitiba who had led many of the city-regional developmental policies and strategies), the following key governance factors were noted (Curitiba Municipal Secretariat undated):

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• Common vision and structural integration in the city-region: the common vision defined by the various sectors of the city planning and management structure, together with 17 adjacent municipalities, was facilitated by strong leadership and inter-sectoral collaboration;

• Creative, simple, feasible and integrated programmes: when regional developments were considered, they were evaluated as to whether they would produce multiple benefits. For example, waste disposal projects offered employment to the poor; and flood control systems provided recreational spaces for communities;

• Decisive organisational leadership and management: Curitiba city and regional development projects were managed on the basis of issue-driven, integrated and well co-ordinated programmes. The close co-operation of the city-region’s autonomous agencies was made possible because of a single, centrally developed operational plan with clear, well-defined objectives;

• Spatial planning and public transport: Thirty years previously, Curitiba had taken a conscious step to develop an innovative spatial plan, encouraging high density, mixed use, linear urban development, radiating along major transport routes. This had produced a vibrant city-region where one third of the population lived in the city centre, one third along the high density transport arteries and one third in adjacent dormitory towns;

• Social Housing: There were no federal or state government funds available for social housing purchase or public rental programmes. In the absence of subsidies, housing repayments had to cover the costs of municipal service provision. This situation had led to innovative funding approaches and strict control of informal settlements; funds generated from urban conservation projects were directed at supporting the consolidation of informal settlements, as the first step on the long road to sustainability and self-reliant formalisation; and

• Co-operation between private and public sectors: In 1973 the City of Curitiba launched its economic development agency, a non-profit company dedicated to planning, promotion and attraction of new industries. This agency had contributed significantly to the city-region’s job creation by proactive

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targeting of investors, ensuring that the city’s planning was focussed on good public transport links between industrial and high density residential areas. Public facilities were continuously upgraded to meet commercial requirements such as satellite communications.

The Curitiba city-region report (MLH 1995) also identified shortcomings highlighted in collective interviews with municipal officials and community groups. In the assessment processes of the South African urban management study group; especially considered within the democratic governance aspirations of political activists and municipal union leaders in the new South Africa, these shortcomings included:

• lack of integrated governance structures, for shared project commitment between decision–makers from the core city of Curitiba, the state of Parana and the surrounding dormitory municipalities: to the extent that certain of the latter insisted that passengers on their bus services would have to disem- bark at the municipal boundary in order to transfer onto a Curitiba bus into the city centre, rather than negotiate regional service level agreements; and

• too brief community consultation periods about changes to working conditions, housing policies and development projects, which had led to public resentment and resistance; and would be unacceptable to South African civic activists and municipal union leaders. A specific example was the mayoral decision to proceed with pedestrianisation of the central city main road, despite many objections, converting it to a non-vehicular walkway over a weekend, to the anger of several citizen groups.

5.5 CANADA & SWEDEN: SEEKING COMPETITIVE CITY-REGIONAL ADVANTAGE

An insightful report entitled Building Competitive Regions: Strategies and Governance (OECD 2005) analysed the strategies pursued by member governments to enhance the competitive advantage of city-regional economies and the accompanying governance mechanisms on which the implementation of these strategies rested. The goal of creating competitive advantage for their respective cities was specified as the motivation for the city-regional perform-

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ance improvement strategies of the two distinctly differentiated cities of Regina (Canada) and Stockholm (Sweden), compared and contrasted by the author during an International Society for Performance Improvement conference in Sweden in October 2010.

Sylvia Lee (2010), Human Resources Director of the City of Regina in the multi- cultural Saskatchewan province, explained that she had initiated that City’s competitive Strategic Organisational Performance approach in 2007, to attract and retain ambitious, high-calibre public managers into newly defined developmental portfolios within the City and surrounding regions of the province. The City of Regina Human Resource management model for Changing Mindsets to achieve a high performance workforce is illustrated below in Figure 5.1.

Figure 5.1: Source: City of Regina: Strategic Organizational Performance 2010

The culturally and geo-politically different case of the City and County jurisdictions of Stockholm was explained to the author by the City’s Director of Human Resources, Eva Frunk Lind (2010). The strategic change driver towards an integrated city-regional approach was a joint City / County decision in June 2007 to adopt Vision 2030 (City of Stockholm 2008a), repositioning the Stockholm City-region as The Capital of Scandinavia and Green Capital of the World, towards economic growth and political prestige goals. As will be evident

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in a later chapter, this Stockholm city/county developmental project has much in common with the Cape Town City-regional initiative.

The imperatives and implications for achievement of Vision 2030 were work- shopped with political leadership, senior management and union leadership; as well as with business organisations, educational authorities, tourism and hospitality agencies in the city and surrounding county jurisdictions (Frunk Lind 2010). Measurable objectives and quarterly progress reviews were instituted; regular regional and interdepartmental knowledge-sharing networks were facilitated with the aim of encouraging mayors, managers and technical professionals to share problems and learnings in a collaborative environment. As privatisation of municipal schools and other services was a strategic policy goal for the newly-elected conservative governing alliance in the City and several of the adjacent 26 local councils, innovative career counselling and financial incentive policies to retain high-calibre staff were also introduced and detailed in the Personnel Policy handbook (City of Stockholm 2008b), which emphasised that work should be organised to create conditions for participation and influence. Frunk Lind (2010) and her Industrial Relations Director Pontus Sjöstrand indicated that, given the Swedish social democratic traditions and labour legislation, the participatory culture change was being carefully monitored to ensure necessary political / labour union co-operation and shared commitment to the consistent service standards expected by the Stockholm City and County Councils and competing political alliances.

Subsequent review of this multi-party city-regional developmental initiative with Carin Jämtin (2011), former Social Democratic Party deputy mayor of Stockholm and Swedish Minister of International Development Co-operation, indicated that slow progress had been made in strengthening working relationships between the 26 municipalities, as well as county and national authorities. This slow governance progress was typically because of reluctance to give up local independence on emotive issues such as housing or education; and based on ideological and budgetary constraints for social housing, which might attract unwanted immigrants to the capital city-region. Jämtin is familiar with the competitive politics of the Western Cape province and cautioned that similar

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territorial and ideological differences were likely to inhibit inter-municipal co- operative government in the Cape Town City-region.

5.6 PLANNING TECHNOLOGY TOGETHER: City-region of Melbourne, in Victoria State, Australia

Commitment to city-regional community engagement, co-operative government and use of modern communications technology was evident in the Australian report “Planning Together: Lessons from local government planning in Victoria” (West & Raysmith 2007). The use of social media tools such as wiki and discussion boards, empowered citizens and stakeholders to provide direct feedback in all stages of policy formulation and project management, within the city-region of Melbourne. The report reflected a policy in which Community planning was seen to be a natural expression of democracy, in linking participatory democracy to budget decisions and results-based governance.

The Future Melbourne (2009) participatory public planning project began in early 2007. It was an innovative community plan, collaboratively sponsored by the City of Melbourne. A Community Reference Group was invited by the City and State to champion and guide the development of Future Melbourne and various project partners were invited to participate. Melbourne’s many communities participated in developing Future Melbourne through stakeholder meetings, round table discussions, an online discussion forum, an interactive wiki, community surveys, public road shows, exhibition and information hubs around the city. This public engagement project produced the Future Melbourne (2009) plan, which has been a model for a similar future Cape Town 2040 scenario planning initiative (Boraine 2011; Flaatten 2011).

5.7 CITY-REGIONAL DEVELOPMENTAL PROJECTS IN DENMARK

For several years, medium and large cities in three Danish regions had piloted city-regional socio-economic collaboration across municipal and district administrative boundaries, as detailed in the comprehensive City-Regions Project report (DAMVAD 2011). This comparative study is of potential relevance to Cape Town regional aspirations, as it underscored the point that large cities are

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important engines of growth in the international knowledge economy, because they act as gathering places for businesses, labour and investments. Danish cities and adjacent regions differed significantly in their economic performance and development potential. This DAMVAD study focussed on a particular category of cities, namely medium-sized cities with 100 000 to 500 000 inhabitants. Previous comparative studies had shown that such medium-sized city- regions faced particular developmental challenges, because their limited size made it harder for them to attract new citizens and significant economic activity, compared to larger metropolitan city-regions.

A significant number, however, had performed extremely well. Very little was previously known about why some medium-sized cities stood out from the crowd, or about what such cities could do to promote regional growth. This report summarised the outcomes of a project initiated by Aalborg, Aarhus and Odense municipalities and the North, Central and Southern Denmark regions. The aim of the study was to learn about how medium-sized Danish city-regions can use their resources more effectively in order to encourage socio-economic growth; and to investigate whether intercity collaboration within regions could help support shared city-regional growth. The idea behind the report was to communicate insights and lessons learned from the project, and to provide inspiration for growth policies and initiatives in medium-sized city regions. The primary contribution of the DAMVAD city-regional report to informing Cape Town City-regional results-based developmental governance can be summarised as follows:

• The report generated valuable insight into growth initiatives and economic performance in medium-sized city-regions, a category that urban governance researchers typically know relatively little about;

• A good connection and a productive interplay between the city’s resources, actors and growth initiatives – the combination of which makes up the urban growth system of that city – was widely held to support city-regional growth; and

• Moreover, the report showed that medium-sized cities can encourage growth through strategic collaboration with neighbouring cities in the region.

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The project focussed on how cities can interact with their surrounding area (the functional urban region around a core city); and through national and international networks. The report offered insights into the importance of such collaborations for Cape Town City-regional socio-economic growth; and into how such results-based public governance collaborations should be cost-effectively organized and managed.

5.8 OECD HIGHER EDUCATION CITY-REGIONAL VISION: STRONGER, CLEANER & FAIRER REGIONS

The case study of the Barcelona city-region (Royuela 2011) in Spain, including the enhancement of the city-regional population’s quality of life through Olympic Games infrastructure planning, effective results-based governance and management of endogenous growth, was potentially instructive for the Cape Town and other South African city-regions, following the 2010 Football World Cup public investment in urban infrastructure. The Barcelona experience has inspired the dynamic of Gauteng and Cape Town City-regional systemic strategic collaboration in the purposeful governance of shared goals for socio- economic development and relevant vocational skills, towards achieving sustainable economic growth and equitable quality of life in the city-regions (Nyar 2011; Boraine 2011; Winde 2011).

Understanding of this dynamic was deepened by the author’s participation (Barnard & Sewell 2011), representing the Cape Higher Education Consortium (CHEC), in the Organisation for Economic Co-operation and Development / Institutional Management in Higher Education (OECD/IMHE) Conference held in Seville, Spain in February 2011, with the theme of Higher Education in Cities and Regions, for Stronger, Cleaner and Fairer Regions.

As reflected in the “Review of Higher Education in Regional and City Development” (OECD 2011d), the seminars by city-regional and higher education leaders from Barcelona, Seville / Andalusia and several other progressive city-regions in OECD countries, echoed the opening address remarks by OECD Deputy Secretary-General Aart de Geus, highlighting that “extensive experience shows that for cities and regions to grow sustainably, a combination of drivers is

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required, namely: investment in human capital, an emphasis on innovation and research & development, provision of socio-economic infrastructure; and an integrated policy focus” (OECD 2011d).

In evaluating the initiatives for results-based governance of socio-economic growth and human development strategies in the Cape Town City-region, effective progress in the implementation of provincial and municipal collaboration agreements with the four universities and business institutions in that city- region are assessed in subsequent chapters.

5.8.1 OECD Reviews of Higher Education in Regional and City Development

A series of Reviews of Higher Education in Regional and City Development (OECD 2007b) has been the Organisation for Economic Co-operation and Development’s vehicle to promote mobilisation of higher education for economic, social and cultural development of cities and regions. This review process has “facilitated partnership-building in functional city-regions by drawing together higher education institutions with public and private agencies, to identify strategic developmental goals and work together towards them”. An example of the scope of a recent city-regional higher education / socio- economic review, is that of the Spanish autonomous Region of Andalusia (OECD 2010d), of which Seville is the multicultural core city.

These city-regional developmental reviews are co-ordinated by the OECD programme on “Institutional Management of Higher Education” (IMHE). In the period 2004-07, the OECD / IMHE programme “conducted an extensive study with 14 city-regional reviews across 12 countries. This resulted in the IMHE flagship publication Higher Education and Regions: Globally Competitive, Locally Engaged” (OECD 2007b); with a range of recommendations to “ benefit collaboration between higher education institutions and city-regional governments”. In 2008, the OECD/IMHE launched a “second series of OECD reviews of Higher Education in City-Regional Development to address the growing demand by national, regional and local governments for responsive and active higher education institutions. This developmental work also supports the socio-economic goals of the OECD’s Regional Innovation Strategy and Green Growth Strategy” (OECD 2011d). 165

5.8.2 OECD Programme on Institutional Management in Higher Education

Greater international emphasis is being placed in many progressive countries and city-regions on vocational education innovation, improving the quality of teaching and learning, institutional access and city-regional competitiveness. The OECD programme for Institutional Management in Higher Education (IMHE) enables higher education institutions and regional governments to share good practices, innovative ideas and potential models to meet their regional challenges; through knowledge–sharing networks, studies and research. IMHE’s work includes monitoring and analysing policy making, gathering data and sharing new ideas, as well as reflecting on past experiences.

The Cape Higher Education Collaborative (CHEC) is a full member of the IMHE. Two other South African regional delegates, from the Free State and Gauteng provinces, participated with the author in the Seville OECD/IMHE city-regional development conference. The key learnings from the OECD/IMHE seminars potentially relevant to the Cape Town City-regional results-based developmental governance context are as follows (OECD 2011d):

• Towards a knowledge-based city-regional society through technological education and development (Mejias & Bueno 2011)

The Andalusía city-regional International Campus of Excellence was an ambitious and innovative project jointly promoted by both the Universities of Seville and Malaga. The project involved the participation of a diverse range of regional stakeholders, with different experiences, capacities and strengths in research, development and innovation, in the science, technology and business sectors. This project was supported by local business corporations, a factor which has been crucial in implementing effective policies aimed at achieving a sustainable International profile, in terms of infrastructure, mobility of staff and researchers, talent attraction and improvement of regional working conditions.

• Vocational education and universities: building collaboration and pathways for city-regional development (Hazelkorn 2011)

Successful knowledge regions have the ability to develop, promote and attract international and national talent, for vocational education and career pathing. Given the complexity and demands of the knowledge society, it is not possible

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for a single university or research institute to accommodate all the relevant skills, knowledge and innovation needed for social and economic development. This requires “a diverse, coherent portfolio of differentiated and globally focussed Higher Education Institutions, providing a wide range of approaches to teaching, learning, research and innovation”. World-class systems of education require connectivity between all levels of education, because post-graduate education begins at pre-school. In addition, city-regions cannot afford to attract international talent while neglecting national talent. Drawing on the experiences of the OECD Regional and City Development and other studies, this seminar compared and contrasted some exemplary strategies for building successful world class systems of vocational education, several of which have been adopted by CHEC and Cape Town City-regional stakeholders.

5. 9 INTERNATIONAL CITY/COUNTY MANAGEMENT ASSOCIATION: CITY-REGIONAL COLLABORATION IN NORTH AMERICA

The 2011 conference of the International City/County Management Association (ICMA 2011) held in the Milwaukee city-region of the United States on the shores of Lake Michigan, stimulated many innovative results-based seminars and reports. The author was an active participant; and identified the following relevant perspectives by North American city and county managers, to augment the results-based city-regional governance insights of this chapter.

• Process Improvement Tools: Lean thinking for cost-effective City- Regional Governance (Rapp 2011).

Co-effective city-regional governance should be typified by economies of scale through cost-sharing and innovative use of resources in the region, to achieve more with less. In the Minneapolis-St. Paul city-region, the principles of lean manufacturing had been applied, to eliminate Non-Value-Added processes which did not add governance effectiveness or functionality to regional or local services. This lean thinking campaign was adapted by most cities and towns in the region, to reduce quality defects, waiting time, unnecessary transportation and inventory backlogs. Value-Added facilities and services were introduced using the cost savings or efficiencies gained through the lean thinking

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campaign; community priorities and ideas were generated, to define opportunities for implementing Lean Management in processes such as Staff Hiring, Procurement, Building Permits, Municipal Courts, ITC Project Prioritisation, Accounts Payable and Accounts Receivable administration.

• Milwaukee Water Council: Water for Regional Economic Development (Meeusen 2011).

In the state of Wisconsin, no formal city-regional municipal governance bodies exist, but the need for collaboration and public-private partnerships for cost- effective planning and management of state- and county-wide transport and water service special districts has been recognised. Founded in 2009 by Milwaukee city, county and business chambers, the Milwaukee Water Council‘s Water as Economic Development programme has over 300 member organisations, including all local municipalities, county authorities, universities and business chambers in the greater Milwaukee metropolitan region. Water is central to the Milwaukee region’s history and to the continuing economic development of the region. Maintaining water quality and availability is therefore a key objective for major breweries, water sport and tourism agencies, as well as for residential quality of life. Education and talent development, in order to attract and retain aspirant and qualified technical skills for water engineering, has defined several major water and sanitation projects, funded by grants from state, county and metropolitan municipalities.

• Shared Services: Local Governments Working Together (La Sala, Fretwell & Flad 2011).

The purpose of this seminar, led by three experienced municipal executives from widely divergent jurisdictions, was to explore the long history of city and regional governance co-operation in service delivery, from joint powers or local agreements, to informal arrangements such as mutual aid. The three executives described varying degrees and concepts of collaboration for enhanced efficiency, cost-effectiveness and consolidation in their county / city- regions, ranging from service sharing, aggregation, integration, to merger of specialized support services. The Cities of Burbank (Media capital of the world) and Las Vegas (Entertainment capital of the world) identified very specific needs for collaborating with their neighbouring municipalities and counties, in 168

terms of attracting technical skills and resources to their regions; these included lifestyle residential opportunities, business and leisure venture capital, as well as high-quality health services for well-heeled entrepreneurs and investors.

An insightful contrast in city-regional governance strategies was reported from Pennsylvania, where Allegheny County co-ordinates the City of Pittsburgh with 27 adjacent local municipalities; and where the City of Philadelphia has negotiated the same administrative boundaries as Philadelphia County, so facilitating co-operative planning and implementation of their respective governance mandates in the same region. Probably the most extensive and complex regional collaboration was in the Pinellas County, which includes 24 local municipalities in the state of Florida. Initially, informal projects to share performance data between a few adjacent municipalities were facilitated by the county, leading to decisions to share services and facilities in tourism promotion and economic development. Successful experiences built trust and mutual respect across the county, which now co-ordinates several spatial planning and community development projects requiring scarce and specialized skills, with shared governance strategies for city-regional performance improvement.

Cross-cutting analytical themes from the cited city-regional experiences and seminars have relevance for the assessment and formative evaluation of Cape Town City-regional development and governance initiatives towards “global competitiveness” (Boraine 2011); notably:

• the building of a shared sense of interdependence and socio-economic cohesion, across local administrative boundaries;

• clearly defined goals for economy, cost-efficiency, shared services and mutual benefit (‘win-win’ outcomes) amongst stakeholders; and

• partnerships and collaboration between city-regional and national government agencies, organised business and vocational education institutions.

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5.10 SOUTH AFRICAN CITY STUDIES CONFERENCE, 2011: URBAN STUDIES IN THE WORLD AND SOUTH AFRICA

Facilitated by the “African Centre for Cities” (ACC) and the “Centre for Urbanism and Built Environment Studies” (CUBES) at the University of Cape Town, the South African City Studies Conference (2011) debated contemporary issues in African urbanism; several of which relate closely to the construct and functional governance challenges of the Cape Town City-region. Selected papers and seminars are summarised below, in terms of the results-based urban governance questions framed for this thesis. All seminar papers are available on the conference website (South African City Studies Conference 2011).

• Urban development in context: the role of leaders, locally embedded capital, and networks in Durban’s Public Private Partnerships and their urban interventions (Houghton 2011)

In studies of urban development and transition in South African cities, causality was often ascribed to the external and the global, namely, neoliberalism; globalism; positionality, in a global hierarchy; and the overall effects of the North-South divide. While these processes and contexts are undeniably influential, opportunity remains for the adoption of a more internally-focussed perspective in furthering understanding of urban development. This study examined how urban development processes are formulated by, and enacted through, more immediate and place-specific conditions. The paper focussed on two strategic public private partnerships in Durban: the Durban Growth Coalition and the Moreland Developments-eThekweni Municipal Joint Venture, which have been instrumental in the implementation of large scale projects such as a light industrial estate, mixed use complexes and waterfront revitalisation since 1999. Examination of the city-regional partnerships highlighted how the nature and productivity of development mechanisms are strongly rooted in the context of the broader arena of the South African urban political economy.

• Informal settlements in Gauteng at policy and political junctions (Huchzemeyer 2011)

In 2010, South Africa arrived at a policy crossroad in relation to informal urban settlements. New commitments pointed the state towards a departure from the

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erasure or eradication of urban residential informality which had previously been undertaken through relocation of informal settlements to standardised housing estates or through direct eviction, demolition and exclusion from the city. The new policy direction seeks the integration of informal settlements within cities. However, it remains unfocussed. This paper explored some of the competing and contradictory initiatives on the way informal settlements are to be handled in the cities of Gauteng. A forward-looking professional lobby group has sought to determine the new agenda for informal settlements. At the same time, municipalities in Gauteng were lobbied by and invited into partnerships with the Informal Settlement Network (ISN). This country-wide initiative represents more than merely the active members of its Federation of the Urban and Rural Poor (FEDUP) savings group. It incorporates important aspects of the Federation philosophy that has developed internationally over the past two decades, including self-reliance. The paper reviewed these initiatives and their positions on informal settlements. In doing so, it showed how they skirt some of the most pressing urban developmental governance issues in relation to informal settlement upgrading, experienced and articulated from within informal settlements. These issues have also been highlighted in Cape Town, for instance by the Occupy Rondebosch Common protest group, highlighting the apparent lack of a city-regional land and housing strategy for the urban poor.

• Strategic spatial planning and spatial change in Johannesburg (Todes 2011).

There has been considerable debate internationally and in South Africa over the potential for forms of strategic city-region spatial planning to influence spatial change. Reasons for policy failure have been laid at the door of lack of political support; institutional fragmentation and the marginalisation of spatial planning: poor links to land use management and other elements of implementation; and inadequate understanding of social and economic governance dynamics. The experience of Johannesburg in the post-2000 period is interesting as several of these concerns have been addressed; for instance, a city-regional growth management strategy has been developed which links spatial planning to infrastructure development budgets, giving greater power to planning officials. Stronger links have been made to land use and other aspects of implementa-

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tion; policy development involved extensive processes of consultation with stakeholders; and several major developments linked to these policies are being rolled out. The paper thus presented an insightful story of strategic urban spatial planning, its evolution and public governance results achieved in the Johannesburg city-region.

These South Africa City Studies Conference 2011 papers provided relevant perspectives to contemporary debates around results-based developmental governance issues in metropolitan Cape Town and other South African city- regions; issues and strategies which will be analysed and assessed in chapters 6, 7 and 8, in response to the second research question posed for this thesis.

5.11 GAUTENG CITY-REGION OBSERVATORY: URBAN DEVELOPMENT WORK IN PROGRESS

The notion that the South African province of Gauteng functions as an integrated urban region is not new. Before this province was formally demarcated in 1994, the geo-economic region of the Pretoria-Witwatersrand-Vereeniging (PWV) complex was in everyday use; a construct which is now becoming known as the Gauteng City-Region. “The State of the Gauteng City-Region Review” (Gauteng City-Region Observatory 2011a) focussed on the socio- economic progress and potential of the “ region of cities and towns in and around Gauteng, the smallest, most densely populated and most economically important of South Africa’s nine provinces”.

Gauteng is situated in the centre of South Africa. The province covers an area of 18179 km2 and has a population of over 11 million people (Gauteng City Region Observatory 2011a), spatially organised in a polycentric region of contiguous, cities and towns. In this city-region the most recognisable metropolitan core cities are Johannesburg, Pretoria and Germiston, but also includes several other significant urban centres. Some centres are actually “outside the administrative space of the Gauteng province; but are nevertheless closely connected to it in a way that typifies a functionally integrated city-region” (GCRO 2011a:27). This extended Gauteng City-Region contains over 13 million people within 180 km of central Johannesburg – estimated as almost a quarter

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of South Africa’s total population. The discovery of gold in the late 19th Century started the region’s rapid industrial growth. Today it is “South Africa’s most significant economic space, and by many estimates the largest urban economy on the African continent. It plays a vital hub function. Road networks, railways, electricity transmission and distribution lines and a host of other infrastructural networks, all converge on and radiate out from this key city-region” (2011a).

The GCRO, “first South African city-regional research institution, was established in 2008 as a partnership between the University of Johannes- burg, University of the Witwatersrand, City of Johannesburg and the Gauteng Provincial Government (GPG), with local municipalities in Gauteng also represented on the GCRO Board” (Nyar 2011). Behind the motivation for setting up the GCRO was “a vision for South Africa's economic heartland as an integrated city-region of three contiguous Metropolitan Municipalities (Johannesburg, Tshwane and Ekurhuleni) which is competitive, spatially integrated, environmentally sustainable and socially inclusive. GCRO is charged with helping to build the knowledge base which government, business, labour, civil society and citizens all need”, in order to make this governance vision a sustainable reality (Nyar 2011).

The GCRO is partly funded by the Gauteng Provincial Government. “It collects data and benchmarks the city-region, provides policy analysis, undertakes applied research, and promotes critically reflective academic work, such as a strategic report entitled Benchmarking the way cities and regions around the world are responding to the global recession” (Everatt, Gotz, Phakathi & Makgetla 2009). This strategic paper includes a wide range of actions, being initiated in different parts of the world, from which the Gauteng Provincial Government and Metropolitan Municipalities in the city-region can learn. Key recommendations from the report promote the use of the OECD Barcelona Principles to guide Gauteng city-regional collective strategy. An OECD workshop in 2009 emerged with a set of principles, which have since become known as the Barcelona Principles. These can be used to guide strategic developmental responses in city-regions, regardless of where they are in the world. Everatt et al. (2005) argued that “these Barcelona Principles provide a starting point for consideration of what should be jointly done by provincial and

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municipal government in the Gauteng city-region and are summarised below (Everatt et al. 2009: 5):

• Don’t waste the crisis, respond with purpose and leadership;

• Make a strong case for public investment;

• Develop a long-term regional economic strategy;

• Act purposefully in the short term, focussing on people, jobs, businesses, and incomes;

• Build mechanisms to attract investment now and in the future;

• Promote effective public works and maintain major investments in infrastructure and events;

• Stay close to the people;

• Stay open to the world; and

• Build local and national alliances.”

In an occasional paper commissioned by the GCRO, Greenberg (2010) reviewed the political economy and governance of the Gauteng city-region. He highlighted that “the international growth of regionalism, built around core cities, has coincided with the resurgence of the city-region as a territorial form connected to processes of global flows of information, finance services, resources and people”. He argued that “several city-regions have grown to the extent that they are starting to take on a definitive identity and force as political and economic actors, on a global scale” (Greenberg 2010: 3); and the key recommendation of his paper was that the Gauteng city-region should “develop such identity and force in the political economy of Africa and beyond” (2010: 5).

Another relevant results-based development issue was highlighted in the GCRO Vignette 2 (GCRO 2011b), posing the question: ”Can the Gauteng City-region become a knowledge producer through engaging with multiple stakeholders, such as government, business/industry and civil society?” This GCRO Vignette reflected several of the OECD/IMHE Higher Education in City-regions 2011 Conference findings referenced earlier in this chapter; and also highlighted cross-national case studies showing that Higher Education can and has

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stimulated cutting-edge development in city-regions, through various forms of inter-sectoral engagement..

It is significant to note, in the context of the meaningful city-regional partnership profiles referenced at the OECD/IMHE 2011 Conference, that the Gauteng City- Regional Observatory is financially supported by a grant from the Gauteng Provincial Government (GPG). The Gauteng MEC for Finance and Economic Development affirmed that the GPG recognised the value of the objective GCRO strategic research and described the GCRO academic / government network as an “invaluable investment in effective results-based regional development for our cities and province” (Nkomfe 2011).

5.12 CONCLUSION: UTILITY OF A CITY-REGIONAL CONTEXT FOR DEVELOPMENTAL GOVERNANCE COLLABORATION?

The diverse city-regional developmental typologies, collaborative potential and results-based governance strategies exemplified in this chapter were also reflected In the SA Cities Network State of the Cities report Towards Resilient Cities (SACN 2011a), in which the need for “urban resilience” was noted as particularly relevant to the profound transitions currently taking place in South Africa. Questions were raised throughout the SACN report about the nature and pace of urban spatial, social and economic transformation; and about the dura- bility of these changes. The introduction to this SACN report indicated the context. “South African cities are under the national and international spotlight. Community protests over service delivery, disputes about councillor selection, mismanagement and under spending of municipal budgets, and recurrent billing problems have attracted growing public concern. Yet cities have also been fêted for rekindling a spirit of national unity during 2010, delivering world-class transport schemes and leading the economy out of recession” (SACN 2011a:2).

These are generic urban developmental issues which have been raised in many countries and contexts; and which have led to the public governance construct of the functional city-region, for results-based socio-economic analysis and resilient developmental planning, across administrative boundaries.

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The ICMA (2011) and South African City Studies conference (2011) city- regional governance case study insights cited above; and the lessons learned at the OECD/IMHE Conference (Barnard & Sewell 2011) regarding the potential value of focussed collaboration between city-regional governments, organised business and vocational education, have been recognised within South Africa; and steps towards implementation of the ‘town and gown’ collaborative approach are assessed in subsequent chapters. Cape Higher Education Consortium director Nasima Badsha indicated to the author that since the signing of Memoranda of Understanding in 2006, “a common interest has certainly been established between the Provincial and City government leaders and the four University principals; and that the process of building sustainable partnerships through mutually fulfilling involvement in meaningful research, innovation and vocational education is proceeding well” (Badsha 2011).

Based on these cross-national perspectives, the following contextual questions were posed in structured interviews with a cross-section of 44 national, provincial and municipal politicians, officials, business sector leaders and academic stakeholders, with the aim of exploring perceptions for Cape Town City-regional public governance collaboration. Their responses and commentary are summarised, analysed and assessed in Chapters 7 and 8.

• In your view, is there a need for co-operative government strategies to plan and organise public services across the Cape Town City-region? If so, which public services are priority, for effective and equitable socio-economic development?

• To what extent are all roleplayers (three government spheres, organised business, labour and vocational education institutions) currently co-operating in results-based development, across the Cape Town City-region?

• Looking ahead, 10-30 years, what needs to be done, to improve integrated City-regional socio-economic planning and results-based governance?

Baatjies and Steytler (2006) undertook “an insightful assessment of institutional compliance with the Intergovernmental Relations Framework Act” (RSA 2005a), including areas of conflict that arise between district and local municipalities. With a similar purpose, Schmidt (2008) reviewed approaches to developmental

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local government in South Africa in the period 1994-2006; including the need for enhanced metropolitan co-operative government. Apart from the Gauteng City Regional Observatory papers referenced earlier and the Strategies for Change (2007) review of possible collaborative strategies in the Cape Town region, no analysis of polycentric governance networks of adjacent action, similar to that of McGinnis (2011), has as yet been applied in South Africa towards city-regional results-based governance. Nor has the commonality potential of ‘rebooting the Public Square’ through digital technology across South African multinodal city- regional communities, as have Balutis, Buss and Ink (2011) in their thoughtful collection of what needs to be done to optimise a regional governance model in North America, using technology-enabled collaborative networked systems.

Insightful glimpses into the “neighbourhood politics of transition in South Africa” have been given by Swedish researcher Monaco (2008), which point to similar developmental governance complexities and opportunities throughout the Cape Town City-region and contiguous District and Local Municipalities.

Within the range of geo-political contexts, collaborative growth motivations and typologies of city-regional governance referenced in this chapter, the intent of subsequent chapters is to assess and analyse the evolving Cape Town City- regional developmental governance strategies; and purposefully to apply the S-A-F-R-I-C-A public performance model in evaluating the compliance with constitutional vision, values and principles, within which the Cape Town City- regional “globally competitive” (Boraine 2011) socio-economic development initiatives, results-based public governance policies and regulatory frameworks are being formulated, debated and incrementally implemented.

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CHAPTER 6

URBAN DEVELOPMENTAL GOVERNANCE DYNAMICS

OF THE CAPE TOWN CITY-REGION

6.1 INTRODUCTION: THE CAPE OF STORMS - ORIGINS, EXCLUSIONS, CONQUESTS AND NEW FRONTIERS

As Bickford-Smith, Van Heyningen and Worden (1999) have illustrated, Cape Town in the 20th Century elicited a wide spectrum of experiences and emotions from its inhabitants and visitors, based on a diversity of perceptions of its character, including “an enchanting gem of a city”, “rampant racism”, and “conflicting worlds” (1999: 7-8).

More recently, Pieterse (2010:13) warned that “Cape Town is headed for disaster and is already in deep crisis, if one cares to look close enough. Cape Town’s grim future is … manifested most starkly in the dire situation that faces the majority of the city-region’s residents, who are excluded from the formal economy and must rely on substandard public services and their own makeshift shelters”. This chapter builds on the previous chapters’ national regulatory framework analysis and assessment of the geo-political constructs and typologies of functional city-regions, by providing an analytic summary of the nature of the heterogeneous Cape Town City-region with specific reference to the development, current context and the main policy issues which shape public governance goals and developmental strategies in this city-region.

The contextual data in this chapter, unless specifically referenced to other sources, is derived from a baseline of research conducted by experienced international academics and governance practitioners for a Territorial Review of the Cape Town City-region (OECD 2008a). The Cape Town City-regional public governance policies, results-based strategies and most significant change indicators since the publication of the OECD Territorial Review baseline are analysed in subsequent chapters within the design of the S-A-F-R-I-C-A public performance model developed in chapter 2, in order to facilitate formative evaluation.

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What is now the Cape Town City-region of South Africa (see Figure 6.1 below) evolved from a 17th Century ships’ revictualling station - alternately known as the Cape of Storms and Cape of Good Hope, strategically located between European capitals and Asian colonies - to a heterogeneous society of many cultures, political identities and aspirations. From the initial Dutch East India Company (VOC) vegetable gardens developed a major commercial, cultural and political hub. In the Mother City of an expanding colony, later conquered by Britain to secure the strategic naval and trading gateway to the East Indies, racial exclusion began from an early date. The indigenous Khoi herders of the Cape region were excluded by the planting of an almond hedge, and were subsequently driven out of the settler colony. Slaves from various other VOC - conquered territories in Indonesia and the East Indies were imported, housed separately according to their origins, ownership and religion; which included a Muslim heritage, significant in contemporary Cape Town City-regional society (Elphick & Davenport 1997:23). Even before the first British conquest in 1795, the free burghers organised a variety of social, governance and commercial activities, extending their influence deeply into the hinterland of autonomous municipalities. The Burgher Senate was reconstituted in 1840 with legislative powers stretching inland, as the British abolition of slavery accelerated the northward movement of Voortrekker groups seeking cultural, economic and political independence in newly-founded republics (Freund 2007: 60).

Cape Town City-region in the Western Cape province

Figure 6.1: Source: City of Cape Town, Strategic Development Information and GIS: CCT, 2000

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Geo-political and demographic analysis of most significant change themes in this and subsequent chapters focus on the public governance and development of the functional Cape Town City-region, as a case study of evolving results- based co-operative public governance in post-1994 South Africa. Besides the Territorial Review (OECD 2008a) baseline study, sources for data and insights in this and the next chapters include the author’s professional evaluations, facilitation consultations and action research since 1993, as organisation development advisor to the Metropolitan Negotiations Forum, research co- ordinator into Cape Metropolitan Area government structures (RSA 1998f) and latterly as performance management consultant to the City of Cape Town (Sewell 2000), Provincial Government of the Western Cape and several District and Local municipalities within and adjacent to the city-region.

6.2. CONSTITUTIONAL PUBLIC GOVERNANCE POWERS AND FUNCTIONS WITHIN THE CITY-REGION

As indicated in earlier chapters, “provincial and local government powers and functions were the subject of intense political debate during the negotiations leading to the adoption of the Constitution” (RSA 1996a); and provincial/national intergovernmental relations can be described as quasi-federal because provinces have a relative degree of autonomy in both the legislative and executive arenas (De Visser 2005; 2009). In the national Constitution, each provincial executive roughly replicates the constellation of powers at the national level. The extensive range of functional areas of concurrent national and provincial legislative competence are defined in Schedule 4 of the National Constitution (RSA 1996a); including a number of local government matters in Part B, over which both national and provincial spheres have concurrent competence. Tthe provincial and national spheres both have legislative and executive authority to “monitor the effective performance by municipalities of their functions, using their regulatory power” in terms of Section 155(7) of the Constitution.

This power was interpreted by the Constitutional Court in its certification of the 1996 Constitution, when the Court held the term regulating to connote a broad managing or controlling, rather than direct authorisation function. These concurrent competences between spheres can (and do) lead to complexity in

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city-regional public governance and management accountability. Provincial powers of exclusive competence defined in Schedule 5 of the national Constitution (RSA 1996a) include several which require “policy co-operation or compliance with the national sphere, such as provincial planning, provincial cultural matters, provincial recreation and amenities, provincial sport, provincial roads and traffic”. Similarly, Part B of that Schedule gives provincial government a regulatory and supervisory role over a range of metropolitan and local government matters, which are illustrated in Table 6.1 below.

Overlaps in municipal and provincial functional areas, per the national Constitution

Table 6.1: Source: Steytler and Fessha 2005

based on the Constitution of the Republic of South Africa RSA 1996a

Vaguely defined concurrent provincial and local governance mandates compromise the results-based accountability of certain of the above services throughout the Cape Town City-region, as in other metropolitan areas of South Africa. Citizens may receive a poorer level of service if there is confusion over respective mandates and responsibilities; services may not be delivered at all, if 181

financially stressed governments blame the other (national, provincial or municipal) sphere of government for failure to deliver services. Such a scenario has occurred, for instance, with housing; which has been a national and provincial function (though many urban communities look to their municipality for social housing provision); as well as spatial planning, public transport and road maintenance (Jackson 2010).

Fiscal uncertainty may also generate perceptions of unfunded mandates. This question is acute in the Western Cape, where “municipalities have alleged that they perform 29 functions on behalf of the provincial government” (PGWC 2005a). In sum, “while the extent of these unfunded mandates is contested, it nevertheless indicates that where uncertainty prevails, a municipality may easily find itself in a situation where it provides a much-needed service that, legally speaking, does not fall in its domain. Without sufficient funds [or an unwillingness to use its taxing powers] an inadequate service may be the result” (Steytler & Fessha 2005: 9). In other instances, party-political disputes have exacerbated intergovernmental co-ordination in the volatile Western Cape political climate, even when clear mandates and definitions are provided.

After the 2006 local government elections, for instance, the City of Cape Town and some contiguous local municipalities were governed by a Democratic Alliance-led coalition, while the Western Cape province was governed by the African National Congress until 2009. Several joint developmental initiatives between the two spheres were launched, including a common approach to the 2010 Football World Cup events management and public transport enhancement, as well as a shared community radio talk show by the Premier and Mayor. Political relationships soured, however, when the provincial MEC for Local Government attempted to use his regulatory powers to change the City’s executive leadership model (Brown 2011). Thereafter, Provincial / City disputes frequently flared around the modalities of the co-operative transport partnerships, funding of tourism promotion through Cape Town Routes Unlimited; and the representative composition of the Wesgro economic development agency board. Examples in this and the next chapter illustrate these city-regional governance complexities and lack of functional coherence (OECD 2008a).

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6.2.1 In search of sectoral coherence and political collaboration

Ironically, the closely-contested 1994 Western Cape provincial election result led to a coalition of the former apartheid regime National Party and the liberation movement African National Congress. Both parties pledged to co-operate in a government of provincial unity, sharing the ten Executive Council portfolios almost equally, to “put aside political hostility and focus on collective efforts as partners, to bring stability, job creation and accelerated economic development” (Cape Times 4 May 1994). Reflecting on the subsequent ambivalence, antago- nisms and frequent inability of Western Cape political leaders to compromise or create consensus around developmental governance issues, former Idasa Western Cape regional director and Cape Town mayoral adviser David Schmidt (in Pieterse 2010: 35) commented ironically that “we do the right thing and then we undermine it. We are both the Cape of Storms and the Cape of Good Hope.” Co-operative government progress in the Cape Town City-region should therefore be informed by formative evaluation of mechanisms established to achieve effective intergovernmental planning and co-ordination.

A wide range of intergovernmental platforms has been launched in the Western Cape province since the implementation of new local government structures in 2000, including the Premier’s Metropolitan Co-ordination Forum (PMCF), Provincial Co-ordination Forum (PCF), District Advisory Forums (DAF), and Integrated Development Planning Committees. Traditionally, these forums, especially the PCF, have facilitated relationships between the three spheres of government and disseminated knowledge from the PGWC to municipalities and vice versa (Smith 2008). Other initiatives, such as the District Advisory Forums, enhanced capacity of local governments to achieve their functions by bringing local and provincial officials together. Municipal officials were able to provide detailed information about their current problems in community-level implementation, while provincial authorities offered their expertise on strategic and funding matters.

Participation in such meetings often required institutions to create technical forums that addressed particular areas of concern, e.g. the Chief Financial Officers Forum, District Youth Forum, Public Transport Technical and Steering Committee, and the Disaster Management Forum. Senior officials co-operated

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to analyse the level of participation, membership, frequency of meetings, quality of technical support and the ability to improve service delivery (Steytler et al. 2005). Given that few of these forums included established dispute resolution mechanisms, additional needs arose to gain consensus as to which objective conflict management tools could be adopted (Majiet & Fransman 2009).

Effective intergovernmental co-operation still suffers from political and administrative insularity and lack of shared governance vision in the Western Cape, more than in most other provinces. This has been evident in the author’s professional consultancies with land management, housing delivery, ecology, public health, transport and social development. Pieterse (2010), Director of the University of Cape Town’s African Centre for Cities (ACC), warned that “Cape Town is heading for disaster and is already in deep crisis, if one cares to look close enough … at the direction of underlying trends”; which he defines as “the intertwined crises of economy and ecology that require co-operative government towards achievement of “sustainable lives and livelihoods: processes of social and ecological reproduction situated within diverse spatial contexts” (2010: 14).

As noted in chapter 1, the national Constitution (RSA 1996a) envisaged co- operative government based on effective collaboration between the three interdependent spheres of government. Despite this constitutional commitment to effective co-ordination of plans and resources, demonstrable results have been limited in practice in the Western Cape. The paucity of intergovernmental co-operation has led to project delays in the Cape Town City-region; especially in land tenure and housing development, where inconsistent regulations and inter-jurisdictional conflicts have increased fees and transaction costs.

For example, the N2 Gateway housing project, intended to demonstrate intergovernmental co-operation for rapid high-density housing delivery, became bogged down in problems caused by delays, inadequate community consultation, cost overruns, inadequate construction materials, and party political contestation between the PGWC, City of Cape Town and the national Depart- ment of Housing over defining the precise management accountability and intended beneficiaries of this flagship project. Budgets and timelines on housing developments were often not aligned: various housing delivery functions were

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provided by local governments, while funding flowed sporadically from the PGWC, which maintains a regulatory overview of housing delivery. Likewise, significant land reform budget resources reside with the national Department of Rural Development and Land Reform (DRDLR), whereas implementation decisions on most land reform programmes have been decentralised to the provincial directors of the Department of Land Affairs (Berrisford et al. 2008); as was evidenced during the author’s facilitation of a DRDLR strategic organisation development workshop (Sewell 2011).

The differing budget planning cycles and financial years of national / provincial and local spheres also complicate results-based governance coherence and synergy. Funds often take time to flow, and the use of differing financial years makes timing between the Province and municipalities all the more difficult. Although the Municipal Finance Management Act (RSA 2003b) stipulates that South African municipalities begin their financial year on 1 July, it does not provide processes for co-ordinating budgets with provincial and national departments, whose financial years begin on 1 March. Limited intergovernmental co-ordination has reduced the efficacy of municipal Integrated Develop- ment Plans (IDPs), as underscored by the Western Cape IDP hearings in 2005, which highlighted several aspects of dysfunctionality in intergovernmental alignment. These administrative processes have further reduced synergies between the provincial and municipal spheres of government, beyond the ongoing contestation within and between political parties and factions in the Province and City-region.

The Auditor-General of South Africa (AGSA) Provincial Executive for the Western Cape has indicated that while progress in regulatory compliance has been noted, the effective building of the necessary culture of accountable governance and management - at both institutional and individual levels - remains a concern. In his professional view “a results-based culture in all programmes will undoubtedly help City-regional public managers to build skills and sustain pride in their achievement, teamwork and commitment to efficient and effective decentralised democracy and development” (Diedericks 2010).

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6.2.2 Western Cape Provincial Constitution

The powers of provincial legislatures are defined in Chapter 6 of the National Constitution (RSA 1996a:60). Notably, a provincial legislature may adopt a constitution, not inconsistent with the National Constitution, for the province. To date, the Western Cape is the only province which has successfully adopted a Provincial Constitution. The Western Cape Constitution Act (PGWC 1997) was certified by the Constitutional Court and assented to by the then Premier on 15 January 1998. Although Chapter 2 of the Provincial Constitution endorses the principle of co-operative government and various intergovernmental mechanisms, some clauses in the constitution reflect the intent of the then governing party coalition to assert the relative autonomy of the province from national government hegemony. This has been continued since 1998 by all the various governing parties and political alliances of the province, as indicated inter alia by several clauses referring to terminology, governance principles and institutions which have become part of the PGWC legislative and executive governance and administrative language, including:

Section 52, 53 and 54 Local Government: various clauses define the relationship between provincial and local government, in terms of establishment, provincial monitoring and support; and “regulating the exercise by municipalities of their executive authority”;

Section 67: Powers of Provincial Parliament: throughout, the federal nature of the provincial / national government relationship is emphasised by the use of the words Provincial Parliament, rather than Legislature as in the national Constitution; similarly, to Provincial Cabinet rather than Executive Council; and by clauses 67 (2) and (3), which indicate that the provincial commissioner of police for the Western Cape, who is a national employee, may be required to appear before committees of the Provincial Parliament; which is empowered to receive an annual report from that commissioner;

Section 70 Cultural Councils: provides for the establishment of cultural councils in the heterogeneous province, for communities which share a common cultural and language heritage; and

Sections 71 and 78 Provincial Commissioners: these two sections provide

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for the appointment in the Office of the Premier of Provincial Commissioners for the Environment and for Children, with “defined powers and functions, without fear, favour or prejudice”.

In Western Cape governance discourse, documents and from the author’s professional experience in various provincial and local audit committee and consulting interactions, it is not unusual to encounter confusion in references to Parliament and Minister; especially as the national and provincial legislatures are just a kilometre apart in the central City of Cape Town. Where relevant to the intent of this thesis in explicating the effectiveness of the Western Cape Provincial Constitution (PGWC 1997) as a building block of effective results- based governance, pertinent insights or findings are noted.

6.2.3 Western Cape socio-economic context and governance

Largely because of rapid in-migration after abolition of the former coloured labour preference policy restrictions on black African residential rights, the Cape Town City-region has experienced the second highest population growth among city-regions in South Africa after the Johannesburg-Gauteng region (Cross, Bekker & Eva 1999; Bekker 2002). These studies of migration and settlement in what was previously called the Cape Metropolitan Area (CMA), now more commonly known as the Cape Town Metro or Unicity, found that the immediate questions around in-migration which faced the current provincial and city governments were policy-related. In contrast to the pre-1994 Western Cape provincial policy of coloured preference for employment and access to services, backed by prevention of in-migration of Xhosa people from the Eastern Cape; policy options now revolve around scope for employment and housing for a migrant population in a planning context of densification and a fixed urban edge. Provincial and City public service delivery planning since 1994 has been based on two implicit assumptions: firstly, that the City can house its poor in such a way that they can accumulate assets and escape from poverty; and secondly, that the time will come when all the urban poor have been adequately housed (Urban Landmark 2011).

Results to date suggest that the first assumption is highly conditional; and the second may never take place. For the rural Xhosa population, streaming into the Western Cape from the impoverished Eastern Cape, the rate of in-migration 187

over the previous 15 years far exceeded the delivery capacity and resources of the local municipal system, along the N2 migration route into the Cape Town City-region. Sustained urban economic growth is necessary to hold in-migration in a viable relation to employment. Sustained growth in turn depends on civil peace and order, to maintain a globally competitive investment climate. Cross, Bekker and Eva’s (1999) sociological study on behalf of the then Cape Metro- politan Council (CMC) found that it “may be time to re-assess the models of land and housing delivery for the rapidly swelling population; and also that it will be important for effective spatial and developmental planning to reconcile the goals of the Metropolitan Spatial Development Framework (CMC 1996) with the ways in which in-migration takes place on the ground” (Bekker & Eva 1999: 85).

Comparative GDP per capita trends shown in Figure 6.2 below indicate the Western Cape scenario, relative to Gauteng province, South Africa’s economic hub. The Isandla Institute (2010) has estimated that in the past 60 years, the Cape Town City-regional population has grown from 720 000 inhabitants in 1951 to an estimated 3,9 million in 2008, i.e. at a rate of over 3% per annum. This demographic trend has been fuelled both by natural population growth (actually a national urban trend) as well as domestic in-migration, which represented 35% of the overall demographic increase between 1996 and 2001. “Most of these migrants arrived from areas within the Western Cape (66%), Eastern Cape (17%) and Gauteng (7%)”, according to Boraine et al. (2006: 278). In spite of a high dependency ratio, at 47%, about half of new migrants coming from other regions of South Africa are young rural Africans between the ages of 15 and 34 years, “looking for better employment and lifestyle opportunities in the Western Cape” (2006:279). This growth rate may be maintained under two conditions. Firstly, Cape Town has a young age structure, which may predispose it towards high socio- economic growth in the future. Secondly, a high growth scenario, with concomitant governance implications, would be maintained if the current large in-migration from other parts of Southern Africa continues.

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GDP per capita in South Africa’s provinces, 1996 / 2006 (100 = GDP per capita in Western Cape in 1996)

Note: GDP 2006 is calculated using mid-term Census data from 2007 Figure 6.2: Source: Statistics South Africa 2007b

6.2.4 Western Cape Provincial fiscal framework

Together, the Education and Health departments typically account for more than 70% of the Western Cape provincial expenditure budget (see Figure 6.3 below). As health and education services are highly labour-intensive, this means that a large proportion of the provincial government budget is devoted to personnel-related expenditures, within National Bargaining Council agreements with unions. The process of allocating national budgets through conditional grants for social services has minimised the flexibility of funding to allow provinces to be more pro-active in addressing their specific challenges.

In this context, provincial innovation and efficiency of public service delivery have taken on importance (Robinson 2007). “Compared to other South African provinces, the Western Cape has spent proportionately less on education and more on health. A number of provinces have consistently failed to invest funds in results-based developmental programmes such as building and upgrading of schools, clinics and hospitals”. “Between 2001/02 and 2005/06, provinces on average spent only 87% of their capital budget”, according to Amusa & Mathane (2007: 271). The performance of provinces has, however, improved: in the 2006/07 financial year, “provinces spent 98% of their infrastructure budgets, with the PGWC spending 94%” (RSA 2008m).

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Main expenditure categories of the Western Cape (2006)

Figure 6.3: Source: National Treasury Database 2006g

South African provinces are mainly financed by national grants, because their own direct tax revenues are very small and they have to negotiate with a centrally administered fiscal regime. More than 95% of provincial income in South Africa comes from National Treasury grants; by far the most important of which is called the equitable share. Around 15% of provincial revenue comes from conditional grants, in specific budgets such as agriculture, education, health, infrastructure and sports (RSA 2007h). The Western Cape is less dependent on the equitable share than are other provinces: this national grant provides 71% of its revenues, against the provincial average of 81%. The allocation of each provincial equitable share is formula-based, taking into account the resources and services for which provinces are responsible.

In an attempt to introduce socio-geographical equity, the Finance and Fiscal Commission (FFC) designed a formula to redress historical disadvantages. This formula for the equitable share uses criteria such as total and school population, proportion of the population without access to medical aid, and components to facilitate backlogs in infrastructure and services. The FFC equitable share formula is reviewed and updated every year, taking into account demographic trends (Robinson 2007). In contrast, conditional grants are allocated by National Treasury on an ad hoc discretionary basis. The PGWC has usually been able to spend the budgeted grants, including the Housing Subsidy Grant (Ajam & Aron 2007). Provincial Tax legislation provides opportunities for

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increasing provincial revenues; provinces can impose own taxes other than income, value added or sales tax, property rates and customs duties.

According to the Western Cape Provincial Treasury Head, “the four major sources of self-generated provincial revenues are casino licences, motor vehicle licences, sale of non-capital goods and interest income. The PGWC collects a quarter of total provincial tax revenues in the country, being the second-largest collector after the Gauteng province”. The Western Cape is also the only province to propose increased provincial revenues by introducing a fuel levy (Robinson 2007). The revenue generated by this fuel levy would amount to some R1,6 billion, but part of this revenue might be offset by lower income taxes, owing to potentially negative economic effects of the levy. For this reason, “this additional provincial tax will probably never be introduced” (Stegmann 2011).

6.2.5 Horizontal intergovernmental co-ordination in the city-region

OECD Territorial Studies of city-regions reflect a typical need for more integrated sub-national governance, as administrative boundaries of local municipalities hardly ever coincide with functional city-regions. This is of particular importance for service networks that need interconnection, such as spatial development strategies and transport networks. In addition, inter- jurisdictional spillovers and externalities make co-ordination necessary to prevent over- or under-provision of services. This is indeed the case in the Cape Town City-region, according to a study by Strategies for Change (2007) funded by PGWC and the City. The study indicates that the functional area is much larger than the City boundaries and enhanced city-regional governance co-ordination is essential to provide effective public services, several of which require national and provincial government endorsement or regulation. National legislation provides a framework for intergovernmental co-operation, but this is not always successfully invoked and executed, particularly with respect to the management of the built environment in the Cape Town City-region.

Apart from the party-political competitiveness and periodic shifts in provincial and municipal hegemony in the Western Cape, there are a number of reasons for the governance disjunctures between local, provincial and national allocation of powers. The national Constitution explicitly requires various spheres of 191

government to tackle the same problems from different angles. The issues of concurrency, unfunded mandates and unclear roles and responsibilities between the three spheres of government call for a review of legislation to clarify the assignation of powers and delegations. The creation of a new city- regional planning institution would greatly improve the co-ordination of regional socio-economic development.

“Given that certain sectors – including land use planning, housing, and economic development – are intrinsically connected to the spatial economy, a cross-sectoral body would offer coherence; and would allow its delegates the decision-making power to co-ordinate their investments in issues that affect the city-region, such as public transport and housing” (OECD 2008a). Representatives from the national, provincial, and municipal governments would sit around the same table and be given planning and enforcement powers through a formal, legally binding tripartite agreement with a mandate and an accountability framework to measure progress towards the achievement of commonly defined results. Central to this mandate should be the accountability to oversee implementation of all spatial/transport/development plans currently in existence for the Cape Town City-region; and to report these results to legislatures and citizens. “This city-regional authority would also have the capacity to create a transportation or regional economic development agency, if its members agreed” (OECD 2008a). Through this development, channels of communication between the various municipalities and the provincial and national governments could be enhanced. City-regional municipalities stand to benefit from an institutionalised, ongoing opportunity to influence policy, planning and investment decisions on matters that affect them, but over which they do not have jurisdiction. This would not only institutionalise a co-operative approach to addressing the nexus of issues governing housing, public transport and land use, but could also lead to their depoliticisation, through results-based governance reform in the functional Cape Town city-region.

Provincial road maintenance in the City-region requires enhanced funding, given large backlogs and potentially unsafe road conditions. Additional funding is necessary to maintain minimal standards and meet safety requirements. To the detriment of community safety and commuter connectivity in the city-region,

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the PGWC has significantly underinvested in this sector; only 1.1% of the Western Cape’s GDP was programmed for public investment in road and rail transport infrastructure, as opposed to the generally accepted standard of 2.0 to 2.5% of GDP (PGWC 2007a: 23). Given these backlogs, the Provincial Government needs to assess a range of options for financing that would encompass transportation districts, specialised taxes, public-private partnerships and municipal bond financing. Transport policies need to respond more effectively to safety and convenience issues. Multi-modal connections, especially rail/bus links and synergy with non-motorised transportation, could be significantly improved with transport designs and schedules in stations and vehicles which promote interactivity between bus, rail and bicycle use.

6.2.6 Provincial development agencies and special purpose vehicles

Innovation was ranked as a high priority in the 2006-2011 Western Cape provincial strategic plan, the Provincial Growth and Development Strategy 2006-2011 (PGWC 2006a). One of its stated objectives was to create a regional innovation framework involving the private sector and four regional public universities, which together form the Cape Higher Education Consortium (CHEC). Rather than a comprehensive strategy for innovation, the PGDS supported a complex network of provincial agencies and special purpose vehicles (SPVs). The agencies usually have a broader objective, as in the case of Wesgro, which has the responsibility for attracting Foreign Direct Investment to the Western Cape; while SPVs, as non-profit bodies, implement a sectoral approach for enhancing regional development and innovation capacity.

There are currently 19 agencies and SPVs, which rely on Provincial and City funding and operate within the Cape Town City-region and beyond (detailed in Table 6.2 below). The scale of resources applied by governments to fund agencies and SPVs in the Western Cape is limited: just 1,25% of the combined budgets of the City and the Provincial Government. Agencies generally have a broader scope, while the SPVs focus on direct support to businesses in a defined industry sector. The most significant among them are the Western Cape Investment and Trade Promotion Agency (Wesgro); Cape Town Routes Unlimited (CTRU); and the Cape Town Partnership (CTP).

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• Wesgro is an agency funded mostly by the City of Cape Town and the Provincial Government: Western Cape, which aims to provide investors and exporters with information and training. Wesgro’s effectiveness in promoting the Cape Town City-region is reputedly limited by its weak ties with the national Department of Trade and Industry and state-owned enterprises (SoEs), major players in the economic environment (Flaatten 2011).

• Cape Town Partnership (CTP) is a Special Purpose Vehicle with the mandate of developing the central business district of Cape Town. It acts as an urban development facilitation agency which includes property owners, Cape Regional Chamber of Commerce, the City of Cape Town and other stakeholders. The CTP is funded by property owners through an additional City levy on rates and by PGWC grants. It is actively involved with projects to assist the poor and with organisations that champion social housing within the CBD (Boraine 2010).

• Cape Town Routes Unlimited (CTRU) is a Special Purpose Vehicle accountable to the provincial Department of Economic Development & Tourism, charged with marketing the Cape Town City-region and province. A key aim is to promote year-round tourism and high service standards CTRU is the result of the attempted merger of the City and the Provincial tourism agencies in 2004 (PGWC 2011j; Gilfellan 2011).

Agencies and SPVs in the Cape Town City-region

Year Number Budget PGWC CoCT Name founded of staff (R-m,) contribution contribution Western Cape Investment and Trade Wesgro 1983 39 18 500 10 400 7 700 Agency Cape Agency for Sustainable integrated Casidra 1989 143 80 000 41 040 1 000 Development in Rural Areas Western Cape Clothing and Textile CLOTEX 1996 4 2 300 0 550 0 200 Services Centre

CITI Cape Information Technology Initiative 1998 5 2 900 1 500 0 600

TMNP Table Mountain National Park 1998 120 76 000 - 3 270

CTP Cape Town Partnership 1999 25 9 000 - 2 000

CTC Calling the Cape 2001 20 15 000 3 870 1 000

CFC Cape Film Commission 2001 7 4 537 3 700 0 837

CCDI Cape Craft and Design Institute 2001 16 9 000 3 000 0 900

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CBT Cape Botech Trust 2002 12 4 537 -- --

CN CapeNature 2002 511 119 400 73 800 -

CTRU Cape Town Routes Unlimited 2004 69 63 000 24 000 32 000

Cape Town Boat-Building and CTBI 2004 2 0 610 0 350 0 260 Technology Initiative Cape Initiative in Materials in CIMM 2004 1 0 600 0 500 - Manufacturing

CCTC Cape Clothing and Textile Cluster 2004 3 1 600 1 300 -

SAOGA South African Oil and Gas Alliance 2004 5 5 500 1 500 0 675

CS Cape Ship repair 2006 3 1 600 1 400 0 200

WCTI Western Cape Tooling Initiative 2006 2 1 000 1 000 -

CTFC Cape Town Fashion Council 2007 - 0 900 0 900 -

Totals 987 445 947 168 810 50 642

Table 6.2: Source: Financial statements and executive interviews. Information is for the financial year 2006/7, except for TMNP, where 2005/6 budget figures are used. The majority of CapeNature and many Casidra staff work outside the Cape Town City-region. About ZAR18 million of the Casidra budget rebates to the staffing and management of the nine RED Door offices in the Province, six of which operate in the Cape Town City-region.

6.3 CAPE TOWN URBANISATION IN HISTORICAL PERSPECTIVE

Cumulative changes in the socio-economic and political institutions which bind communities together, as well as improvements in the material conditions of human societies, began over ten thousand years ago, with the rise of communal agriculture and conurbations. “Cities arose, and with them the foundations for civilisations and eventually nation-states” (Beall & Fox 2009:35). In medieval Africa, according to Freund (2007), several major urban settlements along the Mediterranean coastline of Africa played significant roles in trade, religion, governance and warfare; sometimes dominating their counterparts on the European side of that coastline

“Many of the city-regions of the global South face currently face an escalating crisis in the co-ordinated management of basic infrastructure for services such as water, housing and public transit” (Gandy 2005:391). In his study of Lagos, the largest city-region in Sub-Saharan Africa, Gandy “exemplified many of these African urbanisation challenges in an analysis framed by post-colonial structural deficiencies, economic instability, political internecine strife and military governance”; concluding that “a workable conception of the public realm must 195

form an integral element in any progressive approaches to urban policy-making and infrastructure management” (Gandy 2005: 395).

Only in the earliest Dutch East India Company (VOC) governance years could indigenous local Khoi herding people be found anywhere near the Cape castle, before they were excluded from the settlement precinct. In the course of the following centuries, that precinct developed an important urban component. Under the VOC, it maintained a large garrison and catered to the needs of trav- ellers between the Netherlands and the East Indies. Agriculture in the region was also geared to serving this world in transit. The early Cape settlement held a large percentage of the colonial governing population from the start, a percentage which gradually diminished as decommissioned Company officials and immigrant free burgher rights were exercised for independent agriculture, production, trading and related settlements, in the region. These initiatives were supported by growing numbers of slaves and freedmen of diverse cultural origins, in what subsequently became separate municipalities and magisterial districts. As a result of the development of commercial life in the interior and the decline of urban slavery, Cape population grew slowly for decades. It was approaching 30 000 at the time of the diamond discoveries in Kimberley in 1867; no bigger than Lagos and much smaller than Zanzibar (Freund 2007: 60). Huxley (2012) examined debates in the 19th Century, in which the problem of superfluous labouring population and its remedies were deliberated; in these debates, ‘the colonial project’ emerged as a programme of population management and social improvement. In the late 20th Century, exclusion of black African residential rights, to promote the coloured labour preference policy, further differentiated the demographics of the city-region, fostering ethnic settlement patterns and enmity which persists today.

6.4 CONTEMPORARY CAPE TOWN CITY-REGIONAL GOVERNANCE

6.4.1 Cape Metropolitan Area political / administrative structures

When the Act of Union in 1910 brought together the former British colonies and former Boer republics as provinces of the Union of South Africa, Cape Town’s traditional role as Mother City was affirmed by its designation as legislative

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capital of the new state. The building that had formerly housed the Legislative Assembly of the Cape Colony became the House of Assembly (now the National Assembly) of the national parliament; and so began the annual migration of politicians and officials between constituencies, national administrative centres and Cape Town which continues to present times.

One hundred years later, the Cape Town Metropolitan Municipality and its satellite Local Municipality jurisdictions (which, from an inter-governmental perspective, are within the Cape Winelands, West Coast and Overberg District Municipalities) constitute the second largest city-region of South Africa, after that of Gauteng; characterised by a rich diversity of cultures, human activities and ecology and a complex range of public governance traditions and institutions.

The creation of the Cape Town Metropolitan Municipality, as well as the other Metros or Unicities in terms of the White Paper on Local Government (RSA 1998b), was a controversial logistical and political process, guided by in-depth research and iterative consultation with political and civil society stakeholders in each metropolitan region, described in the Department of Constitutional Development report (Sutcliffe et al. 1998). The author’s role in co-ordinating the Cape Metropolitan Area (CMA) governance research and facilitating recommendations as outlined below, led to the four political-administrative options which were tabled for ministerial consideration, to satisfy the White Paper principles and to achieve a workable multi-nodal developmental governance and service delivery model. The CMA consultation process identified four possible metropolitan government models in the Metropolitan Government Systems report (Sutcliffe et al. 1998: 67-69) as follows:

• “Single tier metro with ward committees: which would ensure strong, integrated metropolitan-wide development and redistribution potential, with flexible administrative deployment; as well as close participation of local communities in local decision-making. While this option met all the White Paper criteria, it raised concerns regarding cost-efficiency and democratic distance on major strategic policy and service issues”;

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• “Single tier metro, with sub-structures: this model would also meet all White Paper criteria and ensure strong, integrated metropolitan-wide development and redistribution potential, with budget, original powers and staffing led from the centre. Political sub-councils would retain operational delegated powers, similar to those of the then existing five semi-autonomous substructures, so causing minimal disruption to development and delivery”.;

• “Single tier metro, with accountable local councils: In this model, councillors would be elected to Local councils, with proportional representation to the Metropolitan council. This would ensure strong, integrated metropolitan-wide development and redistribution potential; yet with budget, original powers and financial accountability for the Local councils. It was noted that it met some of the White Paper criteria; and would need minimal restructuring of staff, with concomitant disruption to development and service delivery”; and

• “Two-tier integrated Metro / Local council system: Largely maintaining the status quo of a co-ordinating Cape Metropolitan Council (CMC) and service delivery by various Local Councils (then called Metropolitan Sub- Structures). Minimal restructuring would support service delivery, but the two-tier system would not optimally facilitate political integration, in terms of the White Paper criteria for dismantling inherited racial group areas”.

The Metropolitan Government Systems report (Sutcliffe et al. 1998) concluded that if the preferred Single tier/Sub structure model was accepted for application in Greater Cape Town, then factors of democratic decision-making and delegation, linked with equitable budget allocations, should be agreed with all metropolitan stakeholders. This would optimise necessary governance transformation and maintain shared commitment to service standards, infrastructure and staff morale. During the author’s presentations of these recommendations to the Minister and Director-General, however, it became clear that they were committed to a one size fits all national policy of the first option (Single tier metro with ward committees) in all Metropolitan Municipalities throughout the country; based on the perception that financial redistribution and centralised metropolitan strategy would best meet the White Paper criteria.

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With this structural decision imposed, representatives from all seven existing municipal jurisdictions (Cape Metropolitan Council and six substructures) formed the Unicity Commission, to debate future metropolitan governance and development mechanisms and modalities. As Schmidt (in Pieterse 2010) argued, “the problem for future Cape Town governance lay basically in the triangle of division, social dysfunction and a lack of strategic leadership” (2010: 34). The two-tier model was subsequently adopted in the Municipal Structures Act (RSA 1998g) as institutionally appropriate for non-metropolitan District Municipal governance. Figure 6.4 below depicts the functional Cape Town City- region, including six Local Municipalities within three District Municipalities, contiguous with the Cape Town Metropolitan Municipality.

The Cape Town City-region: showing the Cape Town Metropolitan Municipality and six adjacent Local Municipalities.

Figure 6.4: Source: Strategic Development Information and GIS: CCT, 2000

6.4.2 Results-based governance dynamics in the Cape Town City-region

As reflected in chapter 5, the construct of a functional city-region has not been in general use in South Africa; and only recently has the notion of the urban spatial economy been reintroduced into public policy debates. Though a functional city-region may at times co-incide with existing administrative borders, it more often extends across multiple boundaries. In the Cape Town City-region, the relevant functional area for managing water (which encompasses the catchments of the Breede River and the Berg River) differs from the

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functional region for freight logistics, which stretches as far as Swellendam, Worcester and the port of Saldanha Bay. These spaces, in turn, are not consistent with the city-regional commuter travel pattern, which tends to be narrower. The Provincial Government of the Western Cape responded to these variables and created a city-regional governance definition that incorporates overlapping socio-economic, political, demographic and ecological spaces (PGWC 2007a). This city-regional governance definition encompasses the dimensions of economics, infrastructure, ecology and political geography.

The commuter catchment for the Cape Town City-region extends up to 100 kilometres and includes residents of neighbouring towns, such as Malmesbury, Paarl, Wellington, Stellenbosch, Grabouw, Rooi Els and Hermanus, who commute inwardly to the City of Cape Town; as well as residents of Cape Town who commute horizontally across the city and city residents who commute outwardly to the towns identified above. Despite a widely acknowledged need for public transport connectivity, these commuter patterns had not been quanti- fied at the time of the Territorial study (OECD 2008a). Mapping of connections between city-regional labour markets and employment nodes would facilitate a more holistic understanding of the city-region’s transport flows and functional economic areas, linking with the port of Saldanha Bay and the expanding agri- industrial area around Worcester.

In the 20th Century, Cape Town had evolved towards a poly-nodal city-region characterised by a series of essentially non-discrete functional spaces (Robinson 2007). This territory spans overlapping geographies of function such as commuting patterns and water supply and covers various scales of urban public management and governance. Following a multi-criteria approach, a definition of the Cape Town functional city-region includes the Cape Town Metropolitan Municipality and six adjacent Local Municipalities, within three different District Municipalities. This city-region accounts for 8.3% of the population of South Africa and 92% of that of the Western Cape province. As an international comparison, the Cape Town City-region has the population of OECD city-regions such as Athens, Rome, Montreal, Melbourne or Seattle (OECD 2008a).

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Regional Infrastructure: The two ports at Cape Town and Saldanha Bay, along with road networks, airport, freight rail and pipelines, all play a significant role in economic activity in the city-region. Because Cape Town is a coastal city, a tourist centre and an agri-business node, cost-efficient freight movement across the city-region is essential and forms a key structure around which the functional economy operates.

Ecology: The Table Mountain chain, together with extensive aquifers and the world's smallest floral kingdom (fynbos), has created a diverse yet fragile coastal ecosystem. A population triangle roughly circumscribes Cape Town, Saldanha Bay and Hermanus, given the availability of arable land and water. Arguably the most important ecological features defining the city-region’s social economy are the shared resources of water and waste management. City-regional collaboration is imperative, especially given projections that indicate that the region’s climate will become hotter, more variable and prone to extreme events, including flooding, drought, fire, heat waves and water scarcity (PGWC 2006b).

Administrative units: A trade-off between measuring and defining the city- region must be noted, in that the more the definition is detailed, the more it is likely to diverge from the political geography of the region. This will affect the availability of administrative data, making it difficult to measure the economic and social phenomena taking place within the city-region. For the past 20 years the City of Cape Town has experienced significant political change, from a highly fragmented archipelago of 69 public authorities into one consolidated Metropolitan Municipality. While fragmentation facilitated apartheid planning, consolidation has challenged the City and Provincial governments to work towards integration by coordinating spatial policy, zoning and transportation. A functional definition of the city-region will offer several advantages for governance analysis and results-based policy making, reflecting practical administrative capacities, service jurisdictions, and spatial planning districts – all of which are essential in governing and managing a results-based urban development agenda.

South Africa’s major city-regions, which provide the bulk of national output and a home and workplace for some 60% of the South African population, will have

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to shoulder a substantial part of the country’s socio-economic developmental challenge. An ongoing demographic transition has enlarged the role of cities: whereas in 1930 only 30% of its inhabitants lived in South Africa’s cities, the forecast for century later, in 2030, is that only 30% of South Africans will live in rural areas (UN-HABITAT 2006). Social integration and an alleviation of poverty, however, remain elusive. “The Cape Town City-region, second-largest in South Africa, reflects the national public governance challenge of creating new economic opportunities, while eradicating past inequities and building social cohesion. With a population steadily approaching 4 million, the city-region has managed to modernise its traditional strengths in port logistics and trans- shipment functions, while at the same time developing innovative sectors in tourism, agro-food processing, viticulture and financial services”(OECD 2008a).

The South African urban paradox is illustrated in the Cape Town City-region, within the pluricentric governance principles highlighted by Pedersen, Schested and Sorensen (2011). These aspects are characterised below, including a review of the city-regional public governance conditions and challenges; the need to improve urban infrastructure (particularly in public transport, housing, water and sanitation, given spatial segregation), to address labour market issues dealing with the shortage of skilled labour, to enhance public innovation capacity, and to maintain a sustainable and liveable urban environment.

Cape Town is a low-density and sprawling city-region, covering some 15 255 square kilometres, an area half the size of Belgium; and its population is dispersed throughout an area up to 160 kilometres from the city centre. The city-region is multi-nodal; the City of Cape Town, which is the core, contains 83% of the city-regional population and produces almost 90% of the city- regional GDP. The rest of the region’s population lives in secondary, yet well- defined, urban nodes all showing distinct demographic, economic, social and environmental trends. Population density is low, at only 255 persons per square kilometre, ranging from a maximum of 1 316 persons/km2 in the central city to a minimum of 31 persons/km2 in the relatively rural municipality of Theewaterskloof (PGWC 2007a: 5).

Urban growth and demographic trends were substantially shaped by the governance ideologies of the apartheid state as reflected in Figure 6.5 below. In

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particular, car-dependent suburbs began to form outside the original city centre during the 1960s and 1970s, zoned exclusively for specific racial groups. Large numbers of the city’s coloured population group were relocated from functionally integrated and mixed-race inner-city neighbourhoods to new areas on the urban periphery, distant from almost all existing employment opportunities, and in which commercial activities were outlawed. Such urban governance policies for spatial development, characterised by a fragmentation of nodes of economic activities, pose significant challenges to current urbanisation trends and integrated development planning. “They limit the capacity of local governments to develop a viable public transport system, liveable neighbourhoods, access to employment opportunities and economies of scale in the delivery of financially viable public services” (Van der Merwe 2011).

Population densities and distances in Cape Town (2008)

Figure 6.5: Source: Statistics SA based on SA Census data: 2001

Unemployment and inactivity rates are high in the Cape Town City-region, although somewhat lower than those in the rest of the country. Taking into account the broad definition of unemployment in 2006, unemployment rates for both the City of Cape Town and the Western Cape province stood at 22%, compared to 37% for South Africa. Already in 2001, Cape Town had the second lowest unemployment rate of all the major cities in South Africa, next to metropolitan Tshwane. The services sector was responsible for the bulk of new jobs in the Cape Town city-region between 2004 and 2006. Services alone absorbed 68% of total regional employment in 2006. Wholesale and retail, catering and

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accommodation grew the most between 2004 and 2006, creating more than 100 000 new jobs over the period. Today, this sub-sector accounts for 25% of total regional employment. This dramatic increase is partly due to the success of tourism-related activities, such as catering and accommodation. Transport and communication also increased their share of regional employment, which absorbed 5% of regional employment in 2006.

Conversely, employment has increased in absolute terms but declined in relative terms in financial and business services and manufacturing (14% and 17% of total regional employment in 2006, respectively). Government is another important employer in the region. As the legislative capital of South Africa and the Western Cape provincial capital, the Cape Town government sector under- pins stability in the labour market and disseminates knowledge and skills among city-regional workers.

“The former isolation of township economies has created a cycle of economic and social decline that affects the entire Cape Town City-region. The lack of endogenous development potential in most townships has also reinforced a persistent pattern of social, spatial and racial polarisation”, as noted by Turok and Watson (2001). Spatial decentralisation has not altered the traditional development trajectory, composed of an interrelated set of mechanisms of socio-economic, racial and spatial polarisation at the city-regional level. Under these conditions, people’s abilities to draw on relationships with others, especially on the basis of mutual trust (a governance asset commonly referred to as social capital), is prejudiced. Networks and relationships between different strata of workers and between the owners of capital and workers is often the bridge that enables emerging entrepreneurs, the unemployed and the poorly paid to improve their economic situation.

According to a survey run by the national government on Khayelitsha’s economy (RSA 2004a), wholesale and retail trade accounts for a large share of local GDP; and, surprisingly, finance and business also contribute significantly to the GDP. The formal local labour force is concentrated in wholesale and retail trade, in private households and community services. The relative economic expansion of the area has attracted some investment. For instance, the recently developed Khayelitsha central business district is a R 350 million investment

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made mainly by the Khayelitsha Community Trust, a City-support based initiative. “This is a mixed-use business district located next to a transport inter- change through which thousands of people travel every day. In spite of its original aim of creating jobs within the township, however, the Khayelitsha Business District has tended to compete with informal street sellers, who cannot compete in terms of variety of goods and low prices”. Further integration in the city-regional economy would require better linkages between the various job enhancement programmes and a more affordable transport system, according to the Khayelitsha Nodal Economic Development Profile (RSA 2004a).

6.4.3. Co-operative government and urban management challenges: enabling conditions for city-regional competitiveness

Facilitation of the fundamentals of a performance management initiative for the City of Cape Town (Sewell 2000) revealed several results-based governance challenges which persist today; and need to be analysed in some depth, for cost-effective developmental planning and regulation to optimise the socio- economic potential of the evolving city-region. Despite Cape Town City-region’s recent economic growth, entrenched structural and spatial obstacles impede its potential to fully exploit its city-regional assets and to respond to growth and poverty-reduction objectives.

Not least of the identified inhibitors are the spatial planning, zoning schemes and layers of complex regulations which have characterised central business district height, bulk and property usage over the years, in the former municipalities which merged post-1994. Predictability, consistency and clarity of building and development regulations often require a 4 year bureaucratic processing and development approval period in central Cape Town, compared with a typical 4 month period in major British cities; and this may be a contributory reason for the recent phenomenon of major business property investments relocating or expanding to the Johannesburg city-region (Townsend 2010).

These bureaucratic obstacles and jurisdictional divisions prevent a more inclusive city-regional growth model from materialising, thereby blocking an effective response to goals to ”halve poverty and unemployment in South Africa by 2014”. Despite an annual growth rate of around 4.5 to 5.5% since 2000 in Cape Town, (a level that meets the poverty alleviation target set by AsgiSA), the scale 205

of social deprivation in post-apartheid Cape Town remains massive: “32% live below the (unofficial but generally agreed) poverty line set at less than R1 199 per month, 16% suffer from HIV/AIDS, 22% are unemployed, and most residents suffer from a city-regional housing deficit estimated at as much as 410 000 units”. (PGWC 2007b). The scale of economic exclusion in Cape Town reduces the potential of socio-economic drivers. It is not only that the fruits of economic growth often do not benefit marginalised groups but that growth itself is constrained. “Some nodes within the city-region perform far better than others, and this increases socio-economic disparities. A more inclusive system, which takes into account such multi-nodal patterns, has the potential to develop new economies, especially those in former townships, and to increase the interactivity between multiple sectors” (Van der Merwe 2011).

Labour market and skills development

Although the residents of the Cape Town City-region tend to have higher educational levels than the South African average (5.22% of workers in greater Cape Town have a tertiary education, versus 0.004% in South Africa, according to the StatsSA Community Survey 2007), there is often a disjuncture between the skills being acquired in educational or vocational institutes and the skills needed by employers. According to the Survey of Constraints to Investment in Cape Town (Wesgro 2007), 45% of respondents cited skills and education of the workforce in Cape Town as a negative factor for investment and economic growth; and a lack of skilled workers was identified as the primary weakness of the business environment (cited in Robinson 2007). Twenty large firms surveyed by the UCT Development Policy Research Unit (DPRU 2008) indicated that they needed more graduates in science and engineering skills; and that graduates, especially from historically black universities, lacked the skills typically acquired in internships or apprenticeships. Beyond the need for skills in mathematics or financial management, firms noted that graduates often lacked communication skills and workplace readiness. A study by the national Department of Labour also identified skill deficits in qualified and specialised labour (such as engineering) along with medium-skill occupations such as artisans, trade and technicians. Regional education institutions, although numerous, fail to produce skills profiles that meet regional

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business’ requirements, and their students underperform in basic literacy and numeracy (Schuitmaker 2009).

City - regional transport network The Cape Town City-region has an extensive road network with acute congestion. The region’s road network, covering approximately 10 000 kilometres, was developed radially around the central business district. It features two main national motorways, the N1 and N2, which run from the Central Business District in a north-east and south-east direction respectively, and four other municipal, national and provincial motorways, which act as link roads and primarily run in a north-south direction. The Cape Town regional road network benefits from an unusual degree of connectivity to the rest of South Africa. However, the roads, particularly in the city centre, face traffic congestion caused by population growth, rising car ownership and a dramatic increase in middle- class urban sprawl. “Cumulatively, these factors have elevated congestion: road-based traffic volumes to or from Cape Town’s CBD increased by a rate of approximately 2.5% per year” (CCT 2006). Underinvestment has impinged upon the service of Cape Town’s urban passenger rail network, which covers approximately 290 kilometres and plays a dominant role in the public transport system, conveying some 620 000 passengers per day and penetrating a range of contiguous local municipalities in the city-region, including Swartland, Stellenbosch and Drakenstein. During an extended period of underinvestment in public transport, crucial rail linkages that had been planned to close the missing links in the network were not developed. Lack of investment over many years has also led to a rapidly ageing fleet, causing breakdowns in service (Source of above data: OECD 2008a).

Human settlements The housing construction sector, though vibrant, has not accommodated the enormous demands of low- and middle-income residents. As the Western Cape Department of Local Government and Housing argued in its Sustainable Human Settlement Strategy (PGWC, 2007b), “the sophisticated institutional capacity of the formal housing system (including construction, materials, banking, bonding, loans, professional services, insurance) is not configured to work for pro-poor housing delivery”. The Provincial research found that there were virtually no

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affordable formal housing options for the low-income bracket; and that only 3% of the population could afford to pay the average cost for affordable housing. Builders are constructing fewer smaller units: the construction of units smaller than 80 square metres declined by 19.9%, while those over 80 square metres increased by 29% over 2004 and 2005 (PGWC 2007b). As a consequence, the Cape Town City-region finds itself in a severe housing affordability crisis, as the Provincial housing deficit had grown to an estimated 410 000-unit shortage (PGWC 2006b). Significant changes in planning approval mechanisms and spatial development strategy by provincial and local governments were required, to transform housing and construction into a stronger driver of the city- regional social economy.

Environmental sustainability, liveability and attractiveness

While many cultural features provide local comparative advantages, the success of its tourist economy depends principally on the city-region’s unique geographical and ecological features. Domestic and foreign tourists are drawn to Table Mountain and 308 kilometres of coastline (one of the longest of any city-region in the world), as well as its hiking trails and 327 square kilometres of nature reserves. The region has more green space per capita than almost any other major city-region in the world (City of Cape Town 2007). Other assets include the Cape Floral Kingdom. Cape Town is one of the world’s most ecologically fragile coastal city-regions.

• Air pollution As a city surrounded by mountains, which gives rise to temperature inversions, air pollution is an increasingly visible problem, despite the fact that there is relatively minimal industrial production in the region. “In winter, regular episodes of the so-called brown haze are a common sight across the Cape Flats to the mountains that border the city” (CCT 2006). In 2007 the “air quality monitoring stations recorded 128 days of poor air quality, when levels exceeded international World Health Organisation air quality guidelines”. Key hot spots are “household fuel-burning areas, particularly informal settlements, because of high particulate concentrations associated with fuel burning; the business and residential areas transected by highways, on-ramps and main feeder roads,

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residential areas close to industrial areas and to the airport. Vehicles accounted for 65% of pollution, followed by industry (22%) and wood (11%)” (CCT 2006).

Flooding and Fires Groundwater contamination of the high water table as well as wetlands on the Cape Flats in areas suffering overcrowding and inadequate sanitation, as well as highly chemically-based farming practices, compound the problems of flooding in many areas. This occurs in the township of Masiphumelele on the Cape Peninsula, along with several low-lying settlements in Khayelitsha, Philippi and Gugulethu. In 2003 and 2005, Cape Town experienced damaging floods. Exposure and vulnerability to climate extremes of 136 port cities around the world was recently ranked. The study determined that US$ 570 million of assets in the Cape Town City-region are vulnerable to changes in water levels; and ranked it as the 107th most vulnerable port city (Nicholls et al. 2008).

In addition to the increasing pressure on natural amenities, rampant crime hinders the city-region’s liveability and attractiveness. “Cape Town Municipality has one of the highest crime rates in the nation: it has 7% of the population, but is responsible for 10% of the country’s reported homicides and 21% of drug- related crime, which has tripled since 2001, at 748 crimes per 100 000 inhabitants” (CCT 2007).

6.4.4 Developmental governance strategies for the city-region

As a relatively new construct in South Africa, the governance of functional city- regions in fostering national economic growth has until recently been notably absent from the main national economic growth strategic documents. Since the adoption of the 1996 Constitution, all spheres of government have paid much attention to enhancing the country’s social unity and macroeconomic stability. In raising the issue of city-regional governance policy, it needs to be remembered that apartheid was essentially a regional spatial strategy, securing the major cities and their industries for white domination. The most significant Cape Town City-regional governance challenge of the post-1994 period is to create new spatial opportunities, while eroding past inequities. Until recently, however, city- regional economic growth data were not featured on the national or provincial development agendas; and national economic policy strategic documents did

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not take into account the metropolitan dimension, in laying out how to acceler- ate macroeconomic growth.

Following a sectoral approach, current housing policy continues to reinforce the spatial mismatch by providing housing units in locations of minimal employment. This has trapped communities in suboptimal employment circuits, with low income and employment multipliers (mainly informal employment). Moreover, evidence collected by Turok and Watson (2001) suggested that the excessive cost of commuting has further reduced disposable income in low-income communities, in the range of 8% to 15% of disposable income, compared to the international standard of between 2% and 5%. This housing policy has been inconsistent with the emphasis on functional integration and urban compaction which has characterised official local and national planning debates since at least the early 1990s, most notably in South Africa’s Urban Development Framework (RSA 1997d).

The developmental governance principles which could have reversed the spatial mismatch informing metropolitan spatial policies, such as the Cape Metropolitan Council’s first Metropolitan Spatial Development Framework (CMC 1996), were never formally adopted. To expand affordable housing opportunities, Cape Town City-regional local governments should more assertively promote heightened density levels, given the city-region’s infrastructure constraints and environmental preservation goals. 94.8% of residential land in Cape Town is low density (OECD 2008a). Without adequate infrastructure, congestion has dramatically increased, resulting in pollution that has stained the attractiveness of Cape Town. Densification and mixed use, though widely acknowledged in the “National Spatial Development Perspective” (RSA 2006a) and “Provincial Spatial Development Framework” (PGWC 2009a) as tools to use land more effectively, have been overridden by the policy objective of supplying basic housing through a conventional one house, one plot model. City-regional housing and infrastructure planning would be improved if it introduced densification overlay zones, accessory dwelling units, revised subdivision regulations and density bonuses.

The system of urban public transport provision in South Africa, including the Cape Town City-region, had also been an instrument of the apartheid planning

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regime. It has locked urban development into increasingly fractured and unsustainable governance patterns, through a combination of levies on employers and central government subsidies. As a result, operators have closed down routes and/or cut back schedules, further reducing the demand for public urban transport and increasing leakages to the informal private mini-bus taxi industry. This has been compounded by situations where operators of public transport only receive six-month contracts (Magida 2011) Rail services, which are operated by national agency Metrorail, receive a large deficit subsidy from national government, and on average, only 30 to 40% of the total operating costs are covered by operational receipts (Behrens & Wilkinson 2003).

The fractured city-regional public transportation network is an obstacle to enhancing global competitiveness. Despite the Cape Town City-region’s rail and road infrastructure, poor transport planning and co-ordination means that much of the population cannot access the regional labour market, and those who do, face long commuting distances and inadequate road safety. Rail transportation and shipping are national government competences, implemented via para- statals, such as Transnet/ Metrorail and the SA Ports Authority. Public road transport in the form of buses is regulated by provincial government, while the taxi industry is both private and semi-formal, under the aegis of national and provincial transport policy. The distorted urban passenger-transit system has increased wage costs and restrained the potential economic dynamism of Cape Town. Without structural changes, the people of Cape Town “will be working harder and harder in order to finance the moving of people, goods and waste into an increasingly fragmented metropolis” (Swilling 2006:109). Given the major backlogs, the Provincial Government has seriously assessed a range of options for financing that will encompass transportation districts, specialised taxes, public-private partnerships and municipal bond financing (Carlisle 2011).

The Cape Town City-region’s socio-economic competitiveness relies principally on a number of dynamic drivers, which, given the complexity of the city-regional economy, could be presented as value chains and regional clusters. Public and collective goods in the Cape Town City-region are relatively sophisticated (world-class universities, large airport and seaports, amongst other public assets) and are usually involved in symbiotic relationships with the spatially

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concentrated urban markets which host them. Inspired by the socio-economic success of the Barcelona city-regional collaborative approach referred to in chapter 5, the Cape Higher Education Consortium of the four regional public universities signed separate Memoranda of Understanding and Collaboration Protocols (CHEC 2006a; 2006b) with the Provincial and City governments as a basis for research and knowledge-sharing in areas including socio-economic growth, technology innovation, human capital development, environmental and governance goals. The University of Stellenbosch has also signed separate collaboration agreements with the two neighbouring local municipalities of Drakenstein and Stellenbosch (Naidoo P 2011), all of which could be potentially significant components of the city-regional developmental framework.

The Cape Town City-region’s future social stability and economic competitiveness will depend on the economic value produced by a number of supply chains and clusters acting as regional and local economic drivers. The agro-food value chain is supported by the presence of a well-developed specialisation in research in food biotechnology, encouraged by the local concentration of agro- food activities. “Large corporations and leading research institutions have continued to play roles in promoting the adoption of biotechnology, to improve the quality of agricultural produce and food within the city-region” Further, the Tourism and Hospitality sector represents one of the most integrated value- chains within the city-region, being related to virtually every other sector of the city-regional economy. “The fact that wholesale and retail trade, catering and accommodation, construction, transport and communication have all increased by more than 6% per annum in terms of GDP between 1995 and 2005, reflects the overall growth of the tourism economy” (CCT 2007).

6.4.5 Governing sustainability, liveability and attractiveness Environmental vulnerability in the Cape Town City-region has increased because of poorer air quality, water pollution, frequent fires, urban sprawl and a low use of renewable energy. Although the city-region has a vast supply of land, only a small portion has the adequate soil conditions necessary for agricultural production. In response to its ecological fragility, Cape Town City- regional governments could place more emphasis on reducing the increasingly unsustainable ecological footprint. Together, these efforts would benefit

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residents’ health and quality of life. “The transformation of the city-region into a green city would augment its appeal as a scenic destination, benefitting its image for tourism, film-making and ability to attract and retain skilled people” (CCT 2007).

Environmental sustainability governance has been increasingly highlighted by academic studies at the University of Cape Town African Centre for Cities (ACC) and the Stellenbosch University Sustainability Institute; and has been prioritised by municipal and provincial policy makers. Innovative sustainability projects have been launched in such areas as “biodiversity, disaster management, carbon footprint reduction, coastal and marine management, air quality and health, integrated water supply development and increased energy efficiency”. Many of these programmes are ambitious, such as the “Kuyasa Energy Efficiency Project, in which the City retrofits houses in low-income neighbourhoods with solar water heaters, insulates ceilings and supplies energy-efficient light bulbs. Cape Town regularly monitors the state of the environment through indicators covering air pollution, energy, biodiversity, water quality and waste” (CCT 2005).

In terms of the fiscal strain which surrounds urban financial management, municipalities within the Cape Town City-region face conflicting interests. They are mandated both to maximise revenues and to augment the volume of services distributed, while at the same time promoting water and electrical conservation. The PGWC and the City of Cape Town have begun to pursue renewable energy targets which will only be achieved with additional funding mechanisms; but national power utility Eskom (which supplies one-third of Cape Town with electricity) and state-owned enterprises Transnet and Metrorail (national government agencies which control significant properties and infrastructure in the city-region) had previously refused to provide data or to participate in strategic developmental discussions; although PGWC officials indicate that there are recent indications of greater openness to co-operative city-regional planning and governance (Joubert & Fourie 2011).

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6.5 CONCLUSION: AN INCLUSIVE AND SUSTAINABLE CITY-REGION?

The situational analysis in the Territorial Review (OECD 2008a) of the Cape Town City-region has stimulated significant public governance and socio- economic developmental debate in recent years, reflecting several of the questions about urban governance policy in South Africa previously posed by Pillay, Tomlinson and Du Toit (2006).

Despite democratisation and improved economic performance, the Cape Town City-region faces significant co-operative government challenges, as have been identified in this chapter. These include concurrent, overlapping and sometimes fractured powers and functions relating to spatial planning, public transport, health, housing and socio-economic development.

High levels of unemployment, poverty and inequality exemplify the income disparities found throughout urban South Africa. This city-region concentrates 8% of South Africa’s population and generates 12% of national wealth. It is also richer per capita than the national average; regional performance in terms of economic growth slightly outperforms national trends: 4% in Cape Town versus 3.4% at the national level, between 1995 and 2006 (Flaatten 2011).

Agro-food, tourism and urban consumption represent the driver value-chains and indicate promising potential for continuing city-regional growth. Cape Town also boasts clustered financial and business services, logistics and creative businesses. Enhanced investment capacity has improved the general performance of the city-regional economy, and helped foster new segments that compete successfully on the international market. Nonetheless, this growth is often not linked with the inherited collaborative governance challenges of the Cape Town City-region as a whole. While a part of the city-region has flourished, the other lags behind, trapped in the old spatial and socio-economic structures. The consequence is that, in the medium-term, the Cape Town City- region may not be able to sustain the positive cycle, because of its deficiencies in human development, public governance cohesion and the political and social pressure on local resources. This may weaken not only its international competitiveness, but also its national economic role, which competes with the increasing centripetal forces generated by the Gauteng city-region, the engine of South Africa’s growth (Boraine 2011). 214

In such a context, results-based public governance strategies to enhance stability and sustainable growth in the heterogeneous Cape Town City-region need to balance economic development with social cohesion (Swimmer 2012). To support the economic competitiveness of the city-region and to promote more equitable distribution of socio-economic development, policy makers need to enhance the city-region’s geomatics and collective goods. In the co-operative government framework, the spatial dimension of such results-based policies and strategies is of vital importance, especially in metropolitan Cape Town: a sprawling poly-nodal city-region, with limited connections, detracting from its global competitiveness. Potential collaborative opportunities for optimising these spatial and socio-economic dimensions within a city-regional development framework have been identified by several professionals and politicians, in dialogic interviews. Stone (2011), for instance, indicated the need to plan for medium-term strategic relocation of the Cape Town international airport, in order to facilitate affordable housing and light industrial development in its current suburban location. The probable site of a new Cape Town International Airport would be investigated in the Swartland municipal area, which is situated administratively within the West Coast District Municipality. Similarly, future export expansion potential for the existing Port of Cape Town is limited; and the City-regional spatial and transport plans need to include significant development of the Saldanha Bay port, which is also within the West Coast District Municipality jurisdiction (Stone 2011).

Saldanha Bay Executive Mayor Rosil Jager (2011) and former mayor, now opposition leader Councillor Vivid Mgoqi (2012) concurred enthusiastically with this probability, especially in the context of recently-announced proposals by the national Department of Trade and Industry (Strachan 2011) for the development of a platinum beneficiation project, augmenting the existing Sishen / Saldanha Bay rail link to create an Industrial Development Zone; which would hold significant job creation and skills development scope. Mayor Jager (2011) emphasised, however, that in order to achieve the envisaged collaborative governance results, it will be essential to stabilise the municipal political and administrative volatility. In the past 10 years, Saldanha Bay Municipality has had 7 different mayors and 6 municipal managers; as well as endemic

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allegations of corruption and nepotism (Barnard 2012). Similar concerns regarding Western Cape political volatility, municipal management competence and stability levels were expressed by Rabbets (2012), former West Coast District and Overberg Municipal Manager; and by Daniels (2012), former Acting Head of the PGWC Department of Local Government, both of whom have grappled with results-based governance and organisation development challenges in the City of Cape Town, as well as in the neighbouring Saldanha Bay, Drakenstein and Stellenbosch local municipalities.

In the following two chapters, these rapidly evolving results-based public governance policies, strategies, initiatives, institutions and their socio-economic developmental effectiveness in constitutional co-operative government throughout the Cape Town City-region are the subject of most significant change analysis and formative evaluation, within the purposive design of the original S-A-F-R-I-C-A public performance model, developed from cross- national exemplary practices in chapter 2.

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CHAPTER 7

INITIATIVES FOR RESULTS-BASED CO-OPERATIVE GOVERNMENT

IN THE CAPE TOWN CITY-REGION

7.1 INTRODUCTION: CAPE OF GOOD HOPE GEO-POLITICAL DIVERSITY AND OPEN OPPORTUNITY GOVERNANCE

As has been adduced in previous chapters, especially from the narrative analysis and baseline findings of the Territorial Review of the Cape Town City-region (OECD 2008a) referenced in chapter 6, results-based developmental public governance dynamics in the new South African nation-state are constitutionally complex. This complexity can be partly ascribed to the principle of co-operative government between three interdependent spheres; as well as to the skills gaps in public governance competence and managerial capacity evidenced in earlier chapters. Public governance shortcomings in the heterogeneous Cape Town City-region may further be attributed to the great expectations of impoverished communities and limited experience of citizens, politicians and officials in “making our democracy work”, as expressed by Western Cape COSATU leader and ANC Cape Town mayoral candidate, Tony Ehrenreich (2011; 2012).

These co-operative government complexities, depicted in figure 7.1 below, are overlaid by Schmidt’s ironic observation (in Pieterse 2010: 35) that “we are both the Cape of Storms and the Cape of Good Hope”, framing the politically competitive context for this chapter. The Planning Future Cape Town (2007) debate amongst city-regional officials and community activists had already stimulated questions about spatial planning scenarios. Since the publication of the Territorial Review (OECD 2008a) significant changes in provincial, metropolitan and local electoral support within the Cape Town City-region have led to new potential for governance coherence, collaboration and continuity, which are assessed. Based on the cross-national research into results-based public governance principles and praxis and given the national, provincial and local sphere aspirations and achievements reflected in this and earlier chapters, a

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formative evaluation of most significant changes will be ventured in the final chapter, responding to the two research questions formulated for this thesis.

Important to note, in the context of significant changes since the OECD Territorial Review is that political hegemony of the Provincial Government, City of Cape Town and all six contiguous local municipalities in the city-region was assumed by the Democratic Alliance after that party’s majorities in the 2009 and 2011 provincial and municipal elections. This chapter analyses documented and dialogic priorities, initiatives and opportunities for coherent cost-effective collaboration in results-based Cape Town City-regional governance.

City-regional Co-operative government: Constitutional Complexities and Constraints

National Sphere

• National Constitution • State Institutions supporting Constitutional Democracy (Chap 6) • National Parliament legislation and Oversight • Presidential Powers

• Fiscal & Finance Commission • Public Service Commission

Provincial Sphere Local Sphere “In Search of • Powers & Functions Cape Town • Powers & Functions (Chap 6) (Chap 7) City-Regional Provincial Constitution Categories of • Governance • Concurrent National & Municipalities • Excellence” Provincial Competencies • 2-tier District/Local (Schedule 4) Municipalities • Exclusive Provincial • Concurrent National & Competence (Schedule 5) Provincial Competencies (Schedule 4 Part B) • Exclusive Provincial Competence (Schedule 5 Part B)

Figure 7.1: Source: adapted from Sewell & Williamson: 2009

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Swilling (2010b) made a strong case for a dynamic new approach towards a ”sustainable, liveable city” (2010b:3) model. He questioned whether there was in fact a shared commitment across the three spheres within the functional Cape Town City-region towards achieving integration of economic growth, with human and environmental sustainability; although these concepts are embedded in the metropolitan discussion paper Demographics Scenario (CCT 2010a) and in policy statements regarding land and housing infrastructure needs in Cape Town: Looking North for development (Hetherington 2011: 46).

This chapter, therefore, identifies and analyses current results-based development and co-operative government opportunities and achievements for equitable service provision. and socio-economic outcomes in the Cape of Good Hope. The following results-based governance issues have been selected to illustrate the nature of responses to the Cape Town City-region Territorial Review (OECD 2008a) analysis, the emerging benefits of political-administrative stability; and the cumulative steps being taken by all three spheres towards growth, inclusion and socio-economic development, across the functional city-region. While there is broad political consensus on the need for city-regional collaborative governance (Bredell 2011; Brown 2011; Winde 2011; Ehrenreich 2012) there is by no means consensus on the priority processes, outcomes, governance modalities and institutional functionalities.

7.2 BLUEPRINTS FOR MODERNISATION: WESTERN CAPE GOVERNANCE REFORM INITIATIVES, ACTION AND ACHIEVEMENTS

The platform for collaborative initiatives in Cape Town City-regional governance initiatives was based on political stability and shared institutional vision, including the Provincial government, City and all six contiguous local municipalities. Soon after its assumption of executive power in 2009 the newly-elected PGWC leadership began a comprehensive results-based Modernisation Programme. Premier Zille, formerly Mayor of Cape Town, summarised the Modernisation Programme goals and processes (Zille 2009): “… to increase the Provincial Administration’s service delivery capacity; to bring provincial government institutions on par with international best practice… and to ensure that they serve the public in a cost effective and efficient way” (2009: 1).

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By late 2009, a number of PGWC Modernisation work streams (project groups) had drafted 18 Blueprints (PGWC 2009b) for enhanced effectiveness of selected areas of results-based governance and management, including:

• Organisational Culture & • Powers and Functions

Values • Provincial Training

• Good Governance • Registry / E-filing

Recognition • Supply Chain Management

• Delegations • Forensic Investigative Unit • Face of the Province • Department of the Premier

• Infrastructure • Enterprise Risk Management

• Integrated Service Delivery • Human Capital Strategy

• Legislation • Front Office Reform

• Project Management • Information Technology Approach Services Findings and proposals from three of these provincial Blueprint documents are summarised below, relevant to the thesis research questions and to implications for results-based Cape Town City-regional governance. The Blueprint extracts are supplemented by explanatory interview insights, where contextually helpful.

7.2.1 Blueprint: Organisation Design - Department of the Premier

This first performance improvement Blueprint followed the Provincial Cabinet’s approval of the Programme: Modernising the public service institutions of the Provincial Government Western Cape (PGWC 2009c).

7.2.1.1 Two results-based issues pertinent from this Blueprint

Firstly, whether the current institutional design and staff establishment of the Department of the Premier (DotP) optimally supported the Premier and Director- General in discharging their statutory and other strategic mandates? Secondly, whether a central corporate services unit might be a feasible venture, and if so, what should its organisational form, functional content and establishment be?

• Key statutory mandate documents were analysed to determine the scope of the powers, duties and functions of the Premier and Director-General; and

• The current functional structure of the Department was then analysed on the basis of the mandate analysis and normative criteria of the macro level were 220

developed and applied to identify broad functional areas which typically lend themselves to a shared or corporate services approach.

7.2.1.2 Findings and recommendations

The Blueprint mandate analysis confirmed that the core line function of the Department of the Premier followed the following primary powers, duties and functions of the Premier and Director-General:

• Section 125(2) of the Constitution (RSA 1996a) “vests the executive authority of a province in the Premier, who exercises this executive authority together with the other members of the Executive Council“ (Provincial Cabinet). The Western Cape Provincial Constitution has a similar provision. Various provisions of the Intergovernmental Relations Framework Act (RSA 2005a) also require the Premier’s participation/direction of such relations in respect of the national and local spheres of government.

• Looking at the Department’s current macro-organisational design, there were particularly two main areas of results-based governance concern:

The first, and more important, concern was “the multiple components that were currently required to report directly to the Director-General”. If the Office of the Premier is included, the Director-General had a span of control of 8 posts, which was regarded as ”too wide for effective leadership” (Gerber 2011). The second area of concern was the placement of departmental staff support services in the organisation of a departmental line function unit, namely the Branch: Institutional Improvement and Development.

In addition to the strategic management information generated by the DotP Provincial Executive Dashboard and the monitoring and evaluation systems, there was a key requirement that was not being adequately met, namely integrated spatial or geographic information. Given the province’s socio- economic landscape, it was deemed imperative that “policy and strategy development, as well as monitoring and evaluation of spatial planning, be afforded the necessary capacity”(Gerber 2011).

7.2.2 Blueprint: Good Governance Recognition System The need for a strategy to improve public service results and performance excellence was highlighted by the “White Paper on the Transformation of the 221

Public Service” (RSA 1995). This White Paper served as a practical implementation strategy. The key Blueprint challenge noted was ”to ensure that principles of good governance are practised in their entirety by all the provincial departments and municipalities within the Western Cape” (Meyer 2011). 7.2.2.1 Development of a recognition system This Blueprint project goal was defined as the development of a recognition system contextualised within the principles of good governance which were incorporated in the Constitution (RSA 1996a) Section 195, to reward exceptional organisational and community-based project results in provincial departments and municipalities in the Western Cape. The Blueprint explored a staff recognition programme for good governance, in provincial and local government. Specifically, this Blueprint’s goals were to:

• Develop a standardised recognition system, which recognises both good governance and performance excellence in the provincial and municipal spheres; and to

• Ensure that the good governance principles were integrated into the criteria for the recognition system, across all PGWC departments and municipalities.

The information-gathering method of this Blueprint consisted of personal and telephonic interviews with Auditor-General staff and with departments such as the Provincial Treasury Corporate Governance component, the Centre for E- innovation’s Executive Dashboard team, Vuna Awards team members, co- ordinators of award programmes in other provinces and a study of primary literature (Gerber 2011).

7.2.2.2 Discussion: Excellence Model Theoretical Frameworks Good Governance Recognition and Excellence models identify organisational strengths and areas for performance improvement, based upon sound theoretical frameworks. This Blueprint research revealed that there were processes which promote efficiency, as well as maintaining the credibility of the recognition system. Good governance within the public sector was defined within the Constitution (RSA 1996a), the principles of Batho Pele (RSA 1997b) and the South African Excellence Model (Centre for Excellence 2009).

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7.2.2.3 Blueprint Recommendations In view of the key findings and Blueprint conclusions it was recommended that:

• A Steering Committee consisting of the Provincial Treasury, Departments of Local Government and Housing and of the Premier were to facilitate the Good Governance Recognition System within the Province; and

• The Good Governance Recognition System be placed within the Depart- ment of the Premier for co-ordination by the Chief Directorate: Organisation Development; and the Municipal Good Governance Recognition System be placed within the Department of Local Government.

7.2.3 Blueprint: Organisational Culture and Values This cross-cutting Blueprint noted that “organisational transformation begins with the personal transformation of the leaders”. By role modelling, ”employees learn new behaviours which can be positively influenced and adapted to meet the objectives of the PGWC. Not all behaviours exhibited by employees were conducive to achieving results-based service delivery and thus, behaviour change programmes should be introduced for performance improvement”(Gerber 2011).

A scan of all diagnostic surveys previously conducted in PGWC departments was done. “The first request to the Department of the Premier to conduct an organisational culture survey in all 12 departments initially came from the former Provincial Cabinet”. This existing model “consisted of 5 elements, namely Leadership, Strategy, Responsiveness, Co-ordination and Relationship’ (Brown 2011).

7.2.3.1 Good practice model and guide It became clear to the Blueprint project team that, “although there were similarities with other organisations and public service institutions, the PGWC did indeed have some unique organisational culture characteristics”(PGWC 2009b). Overall findings “revealed that leadership and adaptability (responsiveness) were the key areas of strength within the PGWC organisational culture; they showed that the element Leadership showed strength in the PGWC organisational culture as most of its components obtained high scores”. Components which were of concern, however, were “vision and energy

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transference. It seemed that PGWC leaders did not clearly communicate the strategic direction to their employees; they often struggled to explain the vision or strategy effectively” (PGWC 2009b).

7.2.3.2 Racism and Prejudice “Racism and prejudice research had been initiated in 2008, in order to explore whether there was racism within the PGWC, how people were affected and who was perpetuating it” (Brown 2011). The findings “appeared congruent with what one could expect in the Western Cape, showing that there was significant experience of racism, with 20-25% of staff participants having experienced this”.

7.2.3.3 Organisational behaviour focus areas The model adopted by this Blueprint team was based on the “Seven Levels of Consciousness model” (Barrett Values Centre 2006) depicted in figure 7.2 below, based on the pioneering work of Maslow (1954). Current and desired organisational values were assessed with this instrument.

“Barrett Seven Levels of Consciousness Model” “Positive Focus / Excessive Focus”

Service to Humanity Long-term perspective. Future Generations. Ethics Service 7 Collaboration with Customers & the Local Making a Difference Community Strategic alliances. Employee fulfilment. 6 Environmental stewardship Development of Corporate Community Internal Cohesion 5 Positive, creative corporate culture. Shared vision and values Continuous Renewal

Transformation 4 Learning and innovation. Organisational growth through employee participation Being the Best, Best Practice Self-Esteem Productivity, efficiency, quality, systems and processes 3 Bureaucracy … Complacency Relationships that support Corporate Needs Relationship Good communication between employees, customers 2 and suppliers Manipulation… Blame Survival Pursuit of Profit & Shareholders Value Financial soundness. Employee health and safety 1 Exploitation … Job Insecurity Figure 7.2: Source: Barrett Values Centre 2006 (www.valuescentre.com)

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“It was therefore decided that a behaviour change programme based on the Barrett organisational behaviour conceptual framework should be developed and implemented” (Gerber 2011). Cabinet and top management participated in workshops to review the results and implications of the Values survey in order to determine the core values and associated workplace behaviours which are required as part of this organisational culture Blueprint. The author’s professional interactions with M&E officials at the Provincial Training Institute and with several municipal mayors and officials across the city-region, have indicated a growing awareness of building these core values and their relevance to achieving alignment of vision, resources and investment in people, which are key components of the S-A-F-R-I-C-A public performance model.

7.3 BUILDING THE BEST-RUN REGIONAL GOVERNMENT IN THE WORLD WITH CROSS-CUTTING AGENDAS

Flowing from these Modernisation Blueprints (PGWC 2009b) and facilitated by the fact that provincial, metropolitan and local municipal governments in the Cape Town City-region were now all led by the same political vision and values, the shared results-based governance agenda is exemplified in the following extracts from institutional performance plans, progress evaluations, reports and dialogic interviews with well-informed Provincial and City-regional political officials and community leaders. These are, of course, developmental governance work in progress; and will be analysed and formatively evaluated in this and the final chapter.

7.3.1 Department of the Premier: Annual Report 2010/2011

(Tabled with the Provincial Legislature Standing Committee on 1 November 2011, supplemented by Gerber 2011). In the 2010/11 financial year the PGWC defined the strategic vision of “Building an open-opportunity society for all” (PGWC 2010a). The Executive refined the provincial vision, mission and values statement below; to guide the service ethos and practices of the PGWC:

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Vision & Mission of the Provincial Government of the Western Cape: Department of the Premier

Figure 7.3: Source: Western Cape: Dept of the Premier: PGWC 2011g

Core values of the Department of the Premier and the PGWC.

The Department of the Premier Annual Report 2010/2011 (PGWC 2011g) committed the Department (DotP) to “service, based on the core values of:

• Competence (the ability and capacity to do the job appointed to do);

• Accountability (we take responsibility);

• Integrity (to be honest and do the right thing);

• Responsiveness (to serve the needs of our citizens and employees); and

• Caring (to care for those we serve and work with)”.

This DotP Annual Report (PGWC 2011g) indicated that the PGWC drafted twelve provincial strategic objectives, of which 8 correlated with the national Delivery Outcomes, referenced in chapter 4. They have been incorporated into each Department’s Annual Performance Plan and, together, constitute the

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Provincial Strategic Plan. One of these Provincial Strategic Objectives was “to build the best-run regional government in the world” (PGWC 2010a); led by the Department of the Premier. The following results-based elements were put in place:

• The establishment of an Executive Provincial Dashboard to monitor progress of projects linked to the Provincial Strategic Plan;

• The development of a Provincial Transversal Management System to coordinate the implementation of the Provincial Strategic Plan;

• The establishment of a shared Corporate Services Centre in the DotP; comprising Human Capital, Corporate Assurance, E-Innovation, Legal Services and Corporate Communication (PGWC undated); and

• The clamping down on corruption through the passing of the Western Cape Procurement: Business Interests of Employees Act (PGWC 2010e); and through improving the capacity of the Forensic Investigation Unit.

While these policies and processes have been vigorously implemented within PGWC departments (Gerber 2011; Hardien 2012) the author’s professional observations and interactions with City and adjacent District and Local Municipalities have indicated limited awareness of the desired shared values, integrated plans and shared services across the City-region. None of their websites currently reflect the shared institutional values and shared services approach; and SALGA provincial chairman Qually (2011) had not been informed of the need for such collaboration, within the functional City-region.

7.3.2 PGWC Provincial Strategic Objectives

The Provincial Strategic Plan referred to above was initially published as a draft (PGWC 2010a) by the incoming PGWC administration for public consultation, to supersede the previous Provincial Growth and Development Strategy (PGWC 2006a). In the foreword to this draft, Premier Zille indicated that “this is the roadmap we will use as we navigate… towards our shared destination, what we call the open opportunity society for all” (PGWC 2010a: i). Each objective is the responsibility of a designated MEC, backed by a coherent action plan.

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“Western Cape Government: Provincial Strategic Objectives” 1. Increasing opportunities for growth 7. Mainstreaming sustainability and and jobs optimising resource-use efficiency 2. Improving education outcomes 8. Increasing social cohesion 3. Increasing access to safe and 9. Reducing poverty efficient transport 10. Integrated service delivery for 4. Increasing wellness maximum impact 5. Increasing safety 11. Increasing opportunities for growth and 6. Developing integrated and development in rural areas sustainable human settlements 12. Building the best-run regional government in the world Table 7.1: Source: PGWC Budget Process 2011 (2010b): Provincial Treasury; and Groenewald (2011), PGWC Chief Director Policy Development & Intergovernmental Relations.

Reviewing these 12 Provincial Strategic Objectives (PSOs), Groenewald (2011) explained that most are for the current electoral term, though some will require a longer term, needing municipal co-operation and as yet undefined resources, within Intergovernmental Relations (IGR) protocols. A Transversal Management System had been set up within the Branch: Provincial Strategic Management of DotP, with a governance committee and three Strategic Sector Committees (Economic & Infrastructure, Administration & Intergovernmental Relations; and Human Development) to provide institutional support, monitoring & evaluation. He conceded that many of the PSOs were broad and possibly vague, but that “departments in the steering groups would develop a basket of PSO indicators” (Groenewald 2011) for more clearly defined planning, measuring and reporting. Another senior official subsequently confirmed that good progress was being made, though “some officials were still grappling with meaningful results-based objectives and indicators” (Grootboom 2011).

7.3.3 Provincial Cabinet meets Higher Education in the Western Cape

As indicated in chapter 5 of this thesis, the Cape Higher Education Consortium (CHEC 2006a & 2006b) of the four public universities based in the Cape Town City-region had signed Memoranda of Understanding with PGWC and the City of Cape Town, towards collaborating in socio-economic research and innovation in support of institutional growth and development goals. This co-operation was modelled on the OECD/IMHE framework for progressive city-regions in developing countries, detailed above (Barnard & Sewell 2011). 228

In February 2011, the PGWC Cabinet and CHEC representatives met to consider a mutually commissioned report (Organisation Development Africa and Allan Taylor Consulting 2010; Nicol & Taylor 2011) on needs and opportunities for drawing on the research and teaching resources of the four city-regional universities, to support the developmental goals of the Province and to implement mutually agreed research and innovation initiatives.

During this engagement, it was agreed that vibrant and strong Higher Education institutions were essential to supporting socio-economic development and reconstruction; that the CHEC universities had high capacity necessary for promoting provincial economic growth, with world class research strengths and international partnerships. 31% of South African permanent academic staff with PhDs are located at the four CHEC universities. The key results-based governance question was “How can these university resources be mobilised to actively contribute to driving innovation in the Western Cape?” (Taylor 2011).

Despite the large number of innovation entities identified, the findings of the research showed the inadequacy of the linkages of innovation networks in the province. Previous attempts at creating science and technology parks, including the Stellenbosch Technopark and Capricorn, had been costly failures. Universities feel the pressure of public expectations and they also respond to the incentives that they get from government and business.

These incentives may not always be aligned with one another. One university leader expressed concern at the way his institution was under pressure to service the needs of industry, for direct payment, at the expense of following research avenues where public good is the aim; and the return is not as direct (Taylor 2011).

As a member of the University of Cape Town Human Resources Committee, the author has heard this concern expressed by academic staff in several faculties. It seems evident, therefore, that the City-regional goal of shared public developmental vision and academic resources will need to be pursued with continuing vigour, towards achievement of the OECD/IMHE (2011d) approach. Reflecting on the City/ Provincial memoranda of understanding, the Director of the CHEC Secretariat expressed satisfaction with the progress being made in building effective interactions between the universities, the PGWC and City 229

leadership: “international experience has been that such alliances take time to generate real mutual benefits and governance results”.(Badsha 2011).

While periodic Provincial, City and CHEC consultations have taken place, the vision and focussed Investment in People dimensions of the S-A-F-R-I-C-A model are not yet deeply embedded or actively shared in City-regional governance processes.

7.3.4 Department of Social Development: Effectiveness Evaluation

During 2008/09, while the author was chairperson of the PGWC Social Cluster Audit Committee, questions were raised regarding the cost-effectiveness of the provincial Department of Social Development (DSD) in terms of perceived lack of results-based, collaborative governance. This was directed at the value for money audits of the departmental grants to NGOs and CBOs, which typically constituted some 50% of the departmental budget; and at the audit reports reflecting sub-standard financial control data and inefficient in-year monitoring of service standards.

The MEC responded promptly to the results-based concerns of the Audit Committee and a service provider was appointed to conduct an evaluation of all DSD district offices and facilities, in co-operation with the national entity South African Social Services Agency (SASSA) and the City of Cape Town’s social development department (Pascoe 2010).

The DSD Effectiveness evaluation project (Impact Consulting 2010) was carried out with terms of reference relating to the mandate of the provincial DSD, co- operation with SASSA and City offices, community satisfaction with services; as well as cost-effectiveness of district offices and facilities. The extract below from the evaluation report and recommendations reflects the results-based governance focus (Lubelwana & Rangasami 2011):

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Extract from DSD Efficiency and Effectiveness Evaluation

Infrastructure Improve customer • The spaces in which customers are being interviewed in interview areas some offices are not fit for purpose. The offices must increase the privacy that customers have to discuss their issues. • Offices must either have dedicated interview rooms used for this sole purpose and based on the number of customers the office sees on a daily basis • If customers are interviewed in social workers office or workstation – this must be well cordoned off to ensure maximum privacy

Infrastructure Improve accessibility • Offices entrances must have ramps and wide enough doors to accommodate wheelchairs of disabled • Office staff and receptionists should ensure the individual is individuals to office assisted when entering if necessary • There should be disabled bathroom facilities accessible on the ground floor, if there is no lift in the building • There should be an interview room accessible on the ground floor, if there is no lift in the building • Arrangements must be made for disabled staff members, such as office space, and facilities on the ground floor, if there is no lift in the building • Boardrooms or meeting space on ground floor Standards Development of • This was the main complaint of customers and national norms • Longer waiting times in urban areas than in rural – investigate whether this is due to smaller caseloads for templates and standards rural social workers or too little budget allocated to urban regarding offices management • Recommendation is to decide on maximum waiting times for customers and services • Pilot timeframes internally • Once set – announce to customers

Table 7.2: Source: Impact Consulting, 2010

The above example of a provincial–wide effectiveness evaluation of social development programmes is typical of the PGWC thrust towards inculcating the values of competence, accountability and responsiveness (Ishmael 2011; Barnard 2011). It indicates a systemic and systematic approach to results- based governance, aligned with several dimensions of the S-A-F-R-I-C-A model: notably Accountability & Consequences, Recognition & Reinforcement of Results, Community Engagement and Accessible data & evidence.

7.3.5 Department of Economic Development and Tourism

Given the key role that the Provincial Department of Economic Development and Tourism has in the co-ordination and execution of newly defined Strategic

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Objectives (PGWC 2010a) within and beyond the Cape Town City-region, the extracts from results-based project documents reflected below were complemented by a range of interviews with relevant thought leaders and decision makers within the Cape Town City-region including Winde, Brown, Butler, Strachan, Walker, Gilfellan, Boraine, Flaatten, Peterson, Hirsch, Bagraim, Manuel, Jager, Naidoo P, Van der Merwe and Daniels (2011); Solomons and Wright (2012).

7.3.5.1 Reducing the costs of doing business in the Western Cape

Policy makers in the Western Cape are aware of the perceived threat that bureaucratic red tape poses to businesses operating in the city-region. Mindful of this, the Western Cape Government, in partnership with the City of Cape Town, set in motion the Red Tape to Red Carpet project, with “active steps to cut the red tape faced by the private sector” in a “comprehensive plan to eradicate red tape and roll out the red carpet for business” (Winde 2011; Bagraim 2011). Within this plan, the Cape Regional Chamber of Commerce, in conjunction with the PGWC and City of Cape Town, commissioned a study to identify regulatory practices that currently have the greatest negative effect on business competitiveness and resilience in the Cape Town City-region. The following extracts from the report Red Tape: A Study of the Cost of Doing Business in the Western Cape (Mthente 2011) were supplemented by interviews with the stakeholders referenced above. This Red Tape study was undertaken with a view to investigating the central question: “What regulatory procedures and processes should the PGWC and the City of Cape Town reform, in order to make the Cape Town City-region a place in which it is simple, easy and fast to establish and grow a business?” (Mthente 2011: 1).

The methodological approach adopted in carrying out this study centred on a quantitative survey of 228 businesses located within the Cape Town City- region, together with qualitative engagements with key stakeholders in a workshop, designed to contextualise the analysis. The survey findings (Mthente 2011) indicated that bureaucratic red tape is currently seen as a significant problem in the City-region. Nearly three quarters of the respondents regard red tape as either a “moderate or major constraint” to business sustainability, particularly for the development of small businesses. Furthermore, several 232

participants in the qualitative workshop expressed unhappiness at the roles that the various spheres of government currently play in their compliance practices, not assisting businesses to come to terms with regulatory processes and procedures. The results of the quantitative business survey indicated that communicating with officials to gain further information or feedback on progress and tracking documents within the system are the most burdensome stages of compliance with regulatory requirements. Over half (53.5 percent) of the businesses surveyed employed extra resources in order to comply timeously with administrative requirements.

In terms of Municipal red tape and services, the findings from the qualitative business workshop suggested that much of the difficulty experienced in relation to applications for zoning and approval of building plans could be attributed to the absence of a central office for processing applications. In addition, adding to the perceptions of difficulty associated with these regulatory processes, was the belief that “it takes a significant time for many of them to be completed in the Cape Town City-region” (Mthente 2011: 13).

7.3.5.2 Conceptualisation of the Economic Development Partnership

In chapter 6, reference was made to the plethora of Western Cape agencies, entities and special purpose vehicles (19 in total) which had been created over the years; and which have not always evidenced results of cost-effective socio- economic policy development or co-ordinated implementation. A new platform for provincial and city-regional co-ordination has recently been launched. According to the strategic discussion document of the PGWC Executive Council, The Cape Economic Partnership (PGWC 2011k), later renamed Economic Development Partnership (EDP), will become a collaborative organisation to “ lead, coordinate and drive the Western Cape economic growth and inclusion agenda through:

• Better co-ordinated economic and market intelligence, so that economic development strategies are more collaborative and evidence-based; • A single brand platform for Western Cape and Cape Town City-region; and

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• Better co-ordination of economic planning and effort between National departments and agencies, Province, the City and all municipalities, given the importance of the Cape Town City-region as an engine of growth”.

According to project co-ordinator Boraine (2011) “the EDP will be a cross-sector developmental partnership, with the public sector, business partners and other economic stakeholders playing key roles. The EDP Preparatory Committee (and in due course its Board) will look for opportunities for inclusion, coalition building, partnerships, networks and knowledge exchange within all three spheres of government, the private sector and other socio-economic partners”.

“Economic development and the three distinctive clusters of activity – growth, development and inclusion”

Figure 7.4: Economic development involves three distinctive clusters of activity – growth, development and inclusion. These need to be integrated into a single development framework Source: PGWC 2011k

How will the EDP approach the key issue of spatial development?

The newly-launched Western Cape Economic Development Partnership (2012) “will organise in regional economic spaces, specifically in partnership with local governments, and with economic sector organisations and clusters across the whole of the province. However, a one size fits all approach that does not differentiate between the needs of areas of potential growth and the needs of areas of greater social deprivation is not helpful. To this end, based on the

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principle of co-operative differentiation” (Boraine 2011), four regional economic partnerships would be established under the aegis of the EDP as in figure 7.5 below. “The Cape Town City-region Partnership (with 87% of the Provincial GDP and 78% of Provincial population) is the key region for global competitiveness and economic inclusion and the South Cape, Karoo and West Coast Partnerships will ensure greater economic linkages between urban and rural, and between leading and lagging regions” (PGWC 2011k).

EDP Co-operative Differentiation Model

Figure 7.5: Cooperative differentiation model – EDP leading four cross-sector regional economic partnerships, with emphasis on linkages between regions. The economic partnership boundaries are fluid and create spaces of economic cooperation, rather than new layers of governance or administration. Source: PGWC 2011k

After a series of roadshows around the province, the stated aim of launching the Economic Development Partnership was achieved on 26 April 2012 (Boraine 2011); and next steps would require the nomination of a representative Board, realignment of existing structures and setting up of co-ordinating forums at provincial and regional levels. The future role of civil society/social cohesion strategies, previously mandated to the Provincial Development Council (PDC), 235

would also need to be resolved. According to the MEC for Economic Development, the PDC has cost the PGWC fiscus R50 million, “for few demonstrable social cohesion or developmental governance results” (Winde 2011). This perception was not shared by all stakeholders interviewed, especially COSATU Provincial Secretary Ehrenreich (2012); but the PDC social cohesion mandate will possibly be included in the governance roles and functions of the envisaged EDP (Boraine 2011).

In assessing the relevance and envisaged outcomes of the Economic Devel- opment Partnership concept for results-based developmental governance across the Cape Town City-region, it points to the high potential for a shared Strategic Vision of economic growth and job creation, with diverse community engagement processes already in place, and a commitment to intergovernmental financial alignment of budgets (Boraine 2011; Winde 2011).

City experience and inter-sectoral lessons learned from management of the Cape Town Partnership (Boraine 2011) will be applied to this much broader and heterogeneous city-regional developmental project; although it remains a significant concern that civil society stakeholders with a specific mandate for social cohesion outcomes are not as yet actively engaged in the EDP roadshows around the City-region (Hirsch 2011; Jones 2012). In fact, labour federation COSATU has announced its boycott of the EDP framework, as lacking trust and intersectoral credibility (Ehrenreich 2012). It is therefore relevant to the thesis problem statement and research questions to assess the inter-governmental alignment, competence and capacity of the three spheres and civil society stakeholders in defining shared goals and initiating collaborative action, towards promoting results-based developmental governance in the Cape Town City-region.

7.4 RESULTS-BASED COMPETENCE AND CAPACITY: MUNICIPAL, PROVINCIAL AND NATIONAL GOVERNANCE ALIGNMENT

Within the Cape Town City-region, all three spheres of government are roleplayers with constitutionally defined developmental roles and statutory mandates; sometimes concurrent and often overlapping. This section explores

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current competences, development capacity and areas for potential review or re-alignment within the PGWC strategic goals and city-regional governance agenda. Data and definitive examples are informed by purposive interviews with key respondents occupying strategic political and managerial positions in both the city and provincial governments, including Bredell, Berretti, Stegmann, Van der Merwe, Coltman, Van Essen, Jager, Combrinck, Scholtz, Qually, Mullagie, Daniels, Walker (2011); Fast, Wright and Barnard (2012) and by the Western Cape Consolidated Annual Municipal Performance Report 2009/10 (PGWC 2011l).

7.4.1 City of Cape Town

7.4.1.1 Integrated Development Plan and Budget

The City of Cape Town Metropolitan Municipality 5-Year Integrated Develop- ment Plan 2010/11 Review (CCT 2010i) outlines how, on what, and where the City will spend its money until 2012 (Van der Merwe 2011). How the funding will be raised and spent (with timelines, specific amounts and on which specific projects or departments) are detailed in the Annual Capital and Operational Budget and Service Delivery and Budget Implementation Plan (CCT 2011a).

7.4.1.2 Getting the Governance Basics Right

During recent years the City of Cape Town senior management team has had a strong focus on “getting the governance basics right” (Berretti 2011). The first step towards building a World-class City was to strengthen the City organisation – to integrate it and ensure that everyone knew what their job was, who they reported to and who reported to them. That may seem very basic, Berretti conceded, “but five years previously that was not always assured” (2011).

The City leadership also initiated a programme to improve financial planning and control so that it had the resources to deliver the required services. The key external driver was to build a city platform for economic growth. It is based on the three legs of infrastructure provision, building good and effective institutions and regulation that seeks to enable, rather than simply to control. Berretti’s insights were echoed by the SALGA Western Cape chairperson and Cape Town Mayoral Committee member accountable for Corporate Services policy (Qually 2011), in focussing on key result areas which need to be addressed.

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Looking to the strategic way forward in the next 10 years; these City and regional key result areas were identified by both men as:

• The skills shortage, related to economic development;

• Social problems: particularly the gang and drug culture;

• Limits to growth: food, population, energy consumption, water and land;

• Tolerance for cultural diversity;

• Spatial planning for affordable housing; and

• Densification of development along transport corridors.

7.4.1.3 Taking Cape Town into the 21st Century

This was the theme of a wide-ranging presentation at the UCT Graduate School of Business (Neilson 2011a & 2011b). As Deputy Mayor and Mayoral Committee member accountable for the City’s finance portfolio, Neilson’s insights regarding results-based developmental and densification governance were very pertinent to the problem statement and research questions of this thesis. He commented that ”Cape Town is blessed with some inherent attributes that give us a good start – the area’s aesthetics, its maritime location and moderate climate are key advantages” (2011b); but “Cape Town would not be the City which it is, if it were not for the ingenuity and activity of its people over many generations. It is the people that make the City” (2011b).

The Deputy Mayor pointed out that Cape Town’s population is one of great diversity. There is no simple group majority. Political majorities have to be built on a vision and actions that meets the needs of many. Any attempt to appeal to a single group alone, whether it is on race, culture or religion is doomed to failure, as repeated election results since 1994 have shown. With a unique blend of people of great diversity, “Cape Town is a place where Africa meets the East and the West. There is a great deal of tolerance and acceptance for the different cultures and religions in the City-region” (Neilson 2011a).

The Deputy Mayor argued that the level of basic services in Cape Town is high in comparison with many African cities. There is universal availability of water, the electricity grid is stable and suffers few failures. Potholes are filled and traffic lights on the blink are quickly fixed. The City has a diverse economy that 238

is not dependent on the commodities cycle, although many Capetonians are affected by that cycle due to the activities elsewhere in South Africa. The City has a well-developed infrastructure and those areas that are long established have significant and quality buildings and urban amenities. “The Cape Town City-region is, however, not without significant socio-economic challenges. The biggest challenges are the large numbers of poor people, the city’s physical constraints, its land-use orientation, its biodiversity status and its public transport needs” (Neilson 2011b). Cape Town is hemmed in on two sides by the ocean and on the third side by mountains. Storm water and sewer drainage is a significant technical challenge. The Cape Flats sand dunes never had a natural drainage system which has made it an expensive place to develop. “Now that we flatten the dunes for development, we have to provide systems for many kilometres to drain the water to the sea” (2011b). Continuing low-density development is not sustainable in the Cape Town City-region, Neilson commented, and “this has created the following developmental challenges:

• Good agricultural land on the urban edge and elsewhere is rapidly being consumed by urban development and valuable biodiversity resources and areas of scenic and amenity value are being threatened;

• Long travel distances have been created by urban sprawl with fragmented and dispersed urban activity patterns. This negatively impacts on the mobility of poorer people who are dependent on public transport; and

• The inefficiency caused by this fragmented and low-density form of human settlement development has serious socio-economic implications; limiting access to opportunities, and causing operational inefficiencies”.

Neilson emphasised that densification is viewed as “a necessary developmental governance key result area to promote the longer-term sustainability of Cape Town’s valuable natural, urban and rural environments”. This strategic spatial integration goal was also highlighted by the City’s Director of Spatial Planning and Urban Design (Stone 2010); and by the Chairperson of the City’s Planning and Environment Portfolio Committee (Watkyns 2009). Both indicated that in 2007, “a Densification Policy task team was established for the purposes of:

• Integrating, updating and rationalising the existing studies into a single CCT

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and PGWC policy framework;

• Informing the Spatial Development Framework (SDF) (PGWC 2009a) on city-wide density policy and informing the District Spatial Development Plans (DSDPs) as to the identification of density areas for further investigation; and

• Aligning density patterns, trends and proposals with the land use management regulations and infrastructural capacity”.

The Cape Town Densification Policy (CCT 2010b) outlined the existing policy context and hierarchy of density related policies and plans. This policy prescribed a “target gross base density for the City, advocating the densification of existing urban areas, infill sites, and new urban areas at densities appropriate to their specific context, surrounding character, and spatial location within the City-region”. How collaboratively the city-regional co-ordination of spatial and densification planning has been effected remains the subject of ongoing debate with contiguous city-regional municipalities (Combrinck, Daniels, Fast and Naidoo P 2011). Shared vision for city-regional developmental governance appears to be emerging in the Cape Town 2040 discussions (Wright 2012; Boraine 2012), but definitions of city-regional spatial implications, socio- economic outcomes and inter-governmental accountability remain vague.

7.4.1.4 Resolving the Cape Town City-regional Public Transport Crisis

The Cape Town Mayoral Committee councillor and Executive Director accountable for Transport and Roads provided expert explanations of the problems with and possible approaches to resolving the public transport crisis in the city- region (Marsden 2011a & 2011b; Herron 2011). Both emphasised that Cape Town is a relatively low-density city-region, covering approximately 2 461 square km, where poor people have to travel long distances to work, “which results in a disproportionate amount of their disposable income being spent on transport. In some instances this can be up to 30% of disposable income”. The demand for accessible public transport has given rise to the minibus taxi: a phenomenon of unparalleled private sector initiative in the city that has resulted in a major industry arising to fill a gap and become an integral part of public transport, not only in Cape Town, but in most South African cities.

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About 7 500 minibus taxis operate in the City, of which 4 253 operate legally. By contrast, around 1 400 conventional buses operate in the City-region (Carlisle 2011). Despite the rise of the minibus taxi to add capacity to public transport, concerns with safety and reliability have led to a shift to the private car. This, they indicated, has resulted in a vicious circle of undermining public transport with reduced ridership and has meant declining viability of, reduced investment into and increased negative perceptions of a ramshackle public transport service, to which the perceived solution is escape to the private car. The current dysfunctionality of commuter rail in the Cape Town City-region under the Passenger Rail Authority of South Africa (PRASA) is “a serious concern; given that rail is the backbone of metropolitan public transport. Although it has the best commuter rail service in South Africa, the city-region is suffering from serious and sustained underinvestment in commuter rail. Cape Town’s total number of train sets is 91, of which only 83 are operational” (Marsden 2011a).

To meet passenger demand, a further 20 train sets are required. The rolling stock is old, the signal system is reaching the end of its economic life and increasing delays are frequently being experienced. The most pressing need in public transport is the recapitalisation of the commuter rail service, because “if the decline in Cape Town’s commuter rail system is not arrested, recapitalised and placed on a sound financial footing, Cape Town’s public transport system will be fatally compromised, with serious implications for the city-region’s economy”, declared Marsden (2011b: 37). Of the transport demand for commuter trips, about 50% is supplied by the private car. This is a significant proportion of total trip demand, given the relatively low level of per capita income in Cape Town. However, owing to an expanding middle class, the level of car ownership in Cape Town can be expected to increase significantly from the current 100 cars per 1000 persons to at least the 140 cars per 1000 persons of comparable societies such as Brazil and Mexico. “Should the public transport system decline further, these estimates could well be significantly exceeded, with dire consequences for Cape Town’s viability from an economic, social and environmental perspective,” both Marsden (2011a) and Herron (2011) warned; adding that “few strategies would have a more beneficial effect on the future

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economic prospects, social harmony and environmental sustainability of the Cape Town region, than an efficient public transport system” (Marsden 2011a).

The results-based public transit solution increasingly being adopted by many city-regions in Europe, North and South America and Asia is the balanced intermodal approach, proposed in the White Paper on National Transport Policy (RSA 1996b) in which a policy was set out for the development of integrated transport networks in the metropolitan cities by 2020. During the 2010 FIFA World Cup a special event transport service was put in place that used many components of such a system, Marsden explained. It worked exceptionally well, with more than 2 million people trips generated by those attending various city- regional facilities and transported in a system which (despite acting at capacity) worked efficiently. Although this was not a fully functional system, the transit modes employed illustrated some of the significant changes of what is necessary to achieve public transit results in the Cape Town City-region (Marsden 2011; Carlisle 2011; Cronin 2011).

At the local level for World Cup events, people used cars, taxis and buses to access remote park-and-ride facilities. Metrorail conveyed people from the local areas to Cape Town Station, while Bus Rapid Transit (BRT) transported people from Cape Town Station to the stadium and the Fan Mile provided pedestrian access. This illustrated that “under certain conditions, Capetonians found public transport modes in an integrated network not only acceptable, but an exhila- rating experience” (Marsden 2011b). The indicators of acceptable results appeared to be safety, security, reliability, accessibility, convenience and affordability. Given these glimpses into what is possible, how does this translate into an implementable results-based public transit programme? The solution is complex and cannot be achieved overnight; but the key building blocks are:

• Institutional and funding reform: The current fragmentation of responsibility for public transport in the city-regional area needs to be brought to an end and consolidated in the City of Cape Town as outlined in the National Land Transport Act (RSA 2009k). This Act makes provision for the City’s current role of the planning authority to be expanded to cover the licensing, regulatory, contracting and subsidy allocation functions for all modes of public transport, including bus, taxi, BRT and commuter rail. Currently funding for public 242

transport comes in a number of forms from national government for infrastructure funding and subsidy of operations. The subsidy allocations for bus operations are directed to the province, while the funding for Metrorail is managed directly from national government.

• Implementing an integrated public transport network in the city-region: The following need to be achieved in order to ensure that efficient public transport networks are in place, for inclusive services to all communities:

Metrorail should be recapitalised and placed on a sound financial footing so that it becomes the reliable backbone of public transport in the Cape Town City- region; and Bus Rapid Transit (BRT) should be implemented in such a manner that it is complementary to Metrorail, in order to form part of an integrated city- regional public transport network.

• Integrated economic development, land use and transport planning: There should be an integrated approach between these disciplines to ensure that the public transport corridors and nodes not only service the surrounding catchments but also provide economic opportunities through appropriate zoning. The City of Cape Town has made a positive start with the institutional and funding reform provided for in the National Land Transport Act (RSA 2009k), with discussions taking place in national and provincial spheres. The transformation of the City’s transport department to accommodate the new functions envisaged in the Act is currently the subject of intense planning. Similarly, the funding reform is under discussion at national level. “Additional funding sources for public transport are a major subject of discussion with other spheres. An encouraging factor is the improving co-operation between local, provincial and national spheres in their determination to transform public transport interfaces in the city-region” (Marsden 2011a; Herron 2011).

Assessment of the significance of inter-governmental results-based collaboration towards efficient and cost-effective public transport services throughout the Cape Town City-region, in conjunction with integrated spatial planning and densification policies, reflect the achievements of Curitiba, Barcelona, Stockholm and other functional city-regional initiatives cited in chapter 5.

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7.4.1.5 Community Service Satisfaction Surveys in Cape Town

As part of its results-based public participation and performance monitoring approach, the City of Cape Town’s Strategy & Planning Directorate commissioned an independent Community Satisfaction Survey (City of Cape Town 2011d). This was the fourth year of the annual survey, which measures citizens’ perceptions of the City's services. In October and November 2010, 3 000 face- to-face interviews were conducted with residents and 700 telephonic interviews were conducted with businesses. “For the residents’ interviews, strict sampling rules were applied to ensure that measures are representative of the population of Cape Town under specific criteria across the eight metropolitan planning districts. For the business survey, interviews were conducted telephonically from an independent list of registered businesses in Cape Town” (CCT 2011d):

• “62% of residents rated the City of Cape Town as good, very good or excellent in fulfilling its role as a public service provider (up from 58% in 2009/10, 54% in 2008/9 and 46% in 2007/8)” (CCT 2011d).

Essential services (refuse collection, sewerage and sanitation, storm water, electricity and street lighting) continued to be a relative area of strength for the City, except for perceptions around affordable electricity, over which the City has limited control. Water services, previously one of the highest rated services and still with relatively high scores, showed some decreases in ratings. Law enforcement scores remained stable. “Fire and emergency services continued to be important to residents and had shown some improvement, particularly in emergency rescue workers being well trained for helpful service. Health is a key result area for the City; scores remained average to low, especially for waiting times at clinics, but all scores were up slightly since the previous year” (CCT 2011d). Health remains a National and Provincial competence. According to this survey, residents’ priorities remained: job creation (significantly higher mentions than previous year), crime prevention (significantly lower mentions than previous year) and fighting corruption (significantly down from previous year). Housing and primary health care were becoming increasingly important priorities, according to resident opinions; and

• According to the 2010/11 Community Satisfaction Survey report (CCT 2011d) “Eighty one percent of businesses rated the City's performance in 244

fulfilling its role as a provider of municipal services as good, very good or excellent (up from 77% in 2009/10, 75% in 2008/9 and 70% in 2007/8)”.

Performance indicators needing attention were visible measures to deal with corruption and better road maintenance in the business vicinity. Other results needing improvement were the provision of safe and affordable public transport and a visible presence of traffic enforcement on the roads. Affordable electricity tariffs and reasonable water costs were also major concerns for businesses. These surveys are conducted annually for the City leadership to gauge results and monitor the perceptions of residents and businesses in guiding the planning and implementation of municipal services.

7.5 PROVINCIAL AND NATIONAL GOVERNMENT RESULTS-BASED ALIGNMENT

As was stated in section 7.3. above, the Premier remarked in launching the newly drafted Provincial Strategic Objectives (PGWC 2010a) that co-ordination of spheres and departments towards mutually defined results is key to a cost- effective results-based governance vision. Based on the Treasury Budget 2011/12 speech, however, it seems that co-operative government planning and implementation was not effective: “despite calls for the various spheres of government to work in partnership, our plans remain unco-ordinated” (PGWC 2011m: 2). From a civil society perspective, Western Cape Community Chest Chief Executive Jones (2012) expressed a similar governance concern, indicating that social development goals and results were seldom debated or negotiated in collaborative networks with City or Provincial agencies.

Illustrations of how this co-operative government principle was envisaged (if not always effectively implemented) emerged during a PALAMA Introduction to Performance Monitoring & Evaluation (RSA 2009l) course which the author facilitated at the PGWC Provincial Training Institute in November 2011 for 22 middle managers from 7 provincial departments.

Figure 7.6 below depicts the strategic alignments of outputs and accountabilities agreed for National Outcome 10 and Provincial Strategic Objective 7 between the national and provincial Departments of Environmental Affairs. Similar

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intergovernmental alignments are in process for all Provincial Strategic Objectives, according to a briefing by senior management in the Department of the Premier (Hendrickse 2011) which debated the results-based indicators and governance modalities for PSO 12.

Figure 7.6: Alignment of National Outcome 10 with Provincial Strategic Objective 7 Source: Groenewald 2011

7.6 METROPOLITAN AND LOCAL MUNICIPALITY RESULTS-BASED ALIGNMENT

Given the statement in the Provincial Treasury Budget speech that “a decade after integrated development planning at municipalities was introduced, IDPs exclude the capital spending priorities of provincial and national departments” (PGWC 2011m: 2), Local Government MEC Bredell stated that the PGWC is “working hard towards its vision of developmental and well-governed municipalities with integrated, sustainable and empowered communities” (Bredell 2011). He and Local Government Department Head (Fast 2012) emphasised that the PGWC strives to provide effective municipal support and oversight, with capacity-building and co-ordination interventions where needed. Several of these assessments and capacity-building interventions were detailed in the Consolidated Annual Municipal Performance Report (PGWC 2011l), which is

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submitted to the Provincial Legislature, the National Council of Provinces and the Ministry for Co-operative government & Traditional Affairs.

As was defined in chapter 6, the functional Cape Town City-region includes six contiguous local municipalities which (in terms of inter-governmental relations and development co-ordination protocols) form part of three different District municipalities and are not statutorily linked with the Metropolitan municipality. Nonetheless, opportunities exist for results-based co-operative government of socio-economic development, infrastructure and technology across all three spheres through the municipal Integrated Development Plans (IDPs), into the adjacent Districts (Fast 2012). Insights into adjacent municipal IDPs and programme co-ordination below, exemplify the scope for results- based co-operative government and economies of scale within the Cape Town City-region; although, as the Wesgro Chief Executive (Flatten 2011) pointed out, local personalities, volatile political agendas and parochial performance objectives have presented obstacles to inter-municipal co-operative government. This has on occasion deterred potential international investors.

Examples of these parochial inhibitors to city-regional stability and results- based governance were provided by Daniels (2011), Hardien (2012) and Jager (2012). In the strategically located municipalities of Stellenbosch and Saldanha Bay, party-political factionalism led to frequent changes in Mayoral Committees and Municipal Management: hampering developmental results. In the process, forensic investigations into corruption increased and some senior posts remained vacant for extended periods, as much as 36 months. Competition for staff between neighbouring municipalities led to high turnover rates, low morale, poor compliance with financial governance requirements and sub-standard community service levels. Consequently, potential investors were dissuaded and the proposed Industrial Development Zone in Saldanha Bay had not yet been confirmed by the Department of Trade & Industry (Jager & Winde 2011).

7.6.1 Overlapping mandates: Cape Winelands District Municipality

The Cape Winelands District Municipality (CWDM) includes three major local municipalities (Stellenbosch, Drakenstein and Breede Valley) which are functionally within the Cape Town City-region. CWDM adopted a strategy (CWDM 2010b) to promote human security and foster socio-economic development. 247

This District social development strategy envisaged the co-ordination of services to vulnerable people in order to fulfil the requirements of Chapter 2 of the Constitution, optimising co-operative government efforts. The Cape Winelands IDP 2009/2010 (CWDM 2009) and District Growth & Development Strategy (CWDM 2006) recognised that ”the improvement of human security and promotion of developmental objectives cannot occur without ensuring high levels of community involvement” (Schroeder & Magajo 2010).

District Municipality senior officials emphasised that this performance improvement outcome required results-based co-operation with PGWC, City of Cape Town and all Local municipalities, with the national Department of Rural Development; and funding from the Western Cape office of the National Development Agency (NDA), an entity of the DSD. Such co-operation in planning and budgeting is problematic, with differing financial legislation and budget cycles. In fact, Department Head Fast (2012) indicated that social development was primarily a Local Municipality and Provincial function which need not be co-ordinated by the District. Figure 7.7 below depicts the collaborative intergovernmental processes and outcomes envisaged in the District Municipality Rural & Social Development Strategy (CWDM 2010b).

Pro-Poor Strategy extract from Cape Winelands District Rural & Social Development Strategy

Figure 7. 7: Source Cape Winelands District Municipality 2010b.

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In assessing evidence of steps towards integrated city-regional planning for results-based developmental governance, Cape Town strategic planning manager Wright (2012) described how the Cape Town 2040 scenario planning campaign is engaging with City communities and adjacent Local and District municipalities, seeking to build on the Community Survey outcomes cited in 7.4.1.5 above; and to align cost-effectively with the current Economic Develop- ment Partnership strategic negotiation processes, outlined in 7.3.5.2.

7.6.2 Municipal Performance Management Systems

As referenced in Chapter 4, the results-based governance policies and processes put in place in the post-1994 national regulatory framework require all three spheres to implement developmental performance management systems as depicted in figure 7.8 below; linking institutional and individual key performance objectives to optimise strategic plans and resource allocation.

Municipal Performance Management System (PMS)

Council IDP Strategies and Objectives • Vision, Mission & Values • Communications strategy • Formal / informal training • Performance Risk Assessment • Coaching / Counselling • Service Delivery BIPs • Personal development • Scorecards & Indicators • Career development • Monitoring & Evaluation plan MM and Ongoing Directorate development strategies and and training objectives

• Performance Reviews/ People Evaluations & Recognition Development & • Key outputs/ outcomes • Key activities/inputs/ resources • Revised performance IDP Results Job scorecards? Formal through Descriptions • Measurement criteria • Identification of skills performance Position • Competencies required development needs reviews competence- profiles

• Documentation & Reports based • Performance recognition performance • Consequences improvement

Continuous Dept & management individual • Regular M&E feedback of performance • Progress reviews & performance agreements • Objectives: outputs/outcomes recognition and plans • Performance Indicators • Feedback/ Remedial • Work plans / M&E Plans action • Performance improvement plans • Coaching & Counselling • Skills Development plans • Consequences

Figure 7.8: This depicts the annual cycle of performance planning, monitoring, reporting and developmental action by a Municipal Council and Management. Source: Drakenstein Municipality 2011 249

Synchronisation of these performance budgeting and control systems across all three spheres in the city-region, including staffing norms, performance budgeting and regular reviews of results and Value for Money audits, is not readily possible, because of the differing financial years; and the constitutional autonomy of municipal government (Stegmann 2011; Hardien 2012).

An example follows, however, of the potential value of results-based intergovernmental co-operation between two Local Municipalities, both of which are in the functional Cape Town City-region, although in different District Municipali- ties. Seeking to optimise the Audit Committee’s added value role as an independent oversight and advisory body, Fast (2010) indicated to the author in his role of Drakenstein Municipality Audit Committee chairperson, her view that an exemplary benchmark for Performance Management System (PMS) cost- effectiveness was provided by the neighbouring Swartland Municipality, which is in the West Coast District. Accordingly, Drakenstein interviewed the Swartland Mayor and Municipal Manager (Van Essen & Scholtz 2011) to review their PMS principles and practices, for possible results-based governance recommendations to Drakenstein Mayor, Council and Municipal Management. Swartland Municipality affirmed that they, as do Drakenstein, use the National Treasury programme performance indicators (RSA 2007e) to identify the results-based accountabilities of Mayoral Committee, Ward Councillors and Management.

Published in all three regional languages, Swartland has a Client Services Charter booklet (Swartland undated); which is issued to all residents and community organisations and is also on their website. (Swartland undated). The Swartland Client Services Charter includes all municipal contacts and a “commitment to Service Standards, such as:

• Repair of unforeseen power outages (electrical /equipment faults):

90% of incidents within 7,5 hours and 100% of incidents within 24 hours;

• Applications for electrical connections, upgradings, changes and new developments can be handed in during office hours at the Malmesbury office. Swartland Municipality aims to deal with these applications as follows:

- Quotations for standard applications: immediately on application;

- Quotations for non-standard applications: within ten (10) working days; 250

- Provision of standard connections: within ten (10) working days after payment if the structure is ready;

• Repair of water supply network

Reaction within three (3) hours after incident has been reported.

• Installation of new household water connections

Within ten (10) working days after receipt of payment;

• Fire fighting / emergency services

Reaction time 15-20 minutes (in town areas) after receipt of a call or immediately after capture by the municipal SMS system; and

• Processing of building plans

Acknowledgement of receipt within 48 hours, or immediately after capture by the call phone short message system; and finalised after thirty (30) calendar days, or feedback is provided if not finalised” (Swartland undated).

The Drakenstein Municipal Management and Mayor acknowledged the value of this PMS knowledge sharing engagement and undertook to emulate some of the Swartland results–based performance management strategies (Kabanyane & Manuel 2011). However, the requirement for clearly defined and measurable predetermined objectives and optimising of opportunities of city-regional performance service standards collaboration, highlighted in the previous year’s Consolidated Annual Municipal Performance Report 2009/10 (PGWC 2011l) were again noted in the Drakenstein Municipality audit report (AGSA 2011) on the financial, legal and regulatory requirements. This AGSA audit report indicated that ”actual performance reported against 28 out of 91 targets is not consistent with the annual performance report submitted”; that ”performance information was deficient in respect of validity, accuracy and completeness”; and that ”where the municipality did not achieve the planned target, measures were not disclosed to improve the performance” (AGSA 2011: 5).

The AGSA Western Cape Deputy Business Executive (Zondi 2011) indicated that national and provincial results-based governance audit criteria required high standards of citizen-friendly, accurate performance measurement; especially in high capacity municipalities such as Drakenstein which is the second 251

largest in the city-region after Cape Town itself. She stated that similar performance audit compliance findings within the Cape Town City-region were a source of concern, in the AGSA drive for verification of effective results-based governance. Similar findings and concerns were expressed by PGWC Chief Director: Financial Governance Hardien (2012), in explaining the reasons behind the newly-introduced annual Financial Governance Review & Outlook (PGWC 2011o) assessment process, whereby Provincial Treasury officials engage with municipal political leadership, management and audit committees, to review results-based financial and supply-chain governance standards; and to identify skills development and performance improvement needs.

While equally committed to city-regional municipal cost-effective performance management, the PGWC Head of Local Government (Fast 2012) highlighted the need for coherent systems and skilled people within the municipal sphere. She pointed out that the Provincial Treasury currently has 60 staff engaged in financial and administrative compliance activities, compared with the 40 municipal support staff in the PGWC Department of Local Government. “A more balanced, pro-active capacity-building strategy will invest in sustainable results- based governance” (Fast 2012), was her professional view.

These insights reinforce the relevance of the S-A-F-R-I-C-A performance dimensions of the need for clarity of Strategic Vision, Accountability, Financial / resource alignment and Investment in People with the requisite competences to achieve the results (predetermined objectives) agreed by developmental partners, for collective commitment to City-regional outcomes and focussed action plans.

7.7 CONCLUSION: RESULTS-BASED CITY-REGIONAL DEVELOPMENTAL GOVERNANCE HOPES AND HORIZONS

The intent of this chapter has been to analyse and assess results-based developmental public governance opportunities, policies, strategies and progress within the Cape Town City-region, towards evidence-based formative evaluation of Constitutional compliance and cost-effective intergovernmental outcomes in achieving sustainable results-based socio-economic development.

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Within the most significant changes national framework of post-1994 statutory and regulatory reform, which was assessed in chapter 4 as ‘Alive with Possibility’; the current Cape Town City-regional developmental governance ethos and scenario may aptly be characterised as ‘Open for Business Opportunity’.

7.7.1 Opinions and Perceptions of city-regional thought-leaders

In preparing this and the subsequent chapter, 44 structured interviews were conducted with a purposive cross-section of strategic stakeholders in the City- region, including political office bearers and opposition, government officials, business, labour and civil society opinion leaders. The purpose was to gauge their perceptions, in response to three questions relating to current and future results-based Cape Town City-regional governance. The three questions and composite responses are summarised below, reflecting the main opinions, results-based city-regional governance expectations and cautions expressed.

• Question 1: In your view, is there a need for co-operative government strategies to plan and organise public services across the Cape Town City- region? If so, which public services are priorities, for effective and equitable socio-economic development?

Composite interview response: The common view expressed was that there is a definite need for more collaborative governance, to enhance alignment of IDPs, integrated economic and human development, as well as economies of scale in service delivery. The challenge is to get political consensus in order to define, agree and implement development strategies which cut across all three spheres and address regional and parochial community priorities. A value chain of governance partnership objectives and indicators needs to be created and institutionalised. Priority regional projects, with minimal differentiation, include: reliable public transport, spatial planning, land and housing, community-level job creation and business/ government partnerships.

• Question 2: To what extent are all roleplayers (three government spheres, organised business, civil society and vocational education) currently co-operating in development programmes, across the Cape Town City-region?

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Composite interview response: Respondents typically commented that co- operation at the moment is fragmented, politicised and piecemeal. There is little or no integrated City-region/ district strategy, consolidating all three government spheres with civil society, business and vocational education/skills development. This too often leads to short-term planning, with wasteful duplication of effort and resources. Regular, inclusive consultation by a credible, representative City-regional agency on socio-economic development needs and action strategies must be initiated soon, was a comment often expressed.

• Question 3: Looking ahead for 10-30 years, what needs to be done, to improve integrated City-regional socio-economic planning and results-based governance?

Composite interview response: Almost all stakeholders, from across the socio-political spectrum, commented that “improved collaboration in the city- region between all three spheres, civil society and the business sector is essential, for effective needs analysis, strategic planning, monitoring and results-based development management”. The large number of provincial, municipal and national entities operating in the City-region should be rationalised; with a single over-arching representative forum which is inclusive, cost-efficient and flexible; to achieve a reasonable balance between clearly- defined metropolitan & local community priorities. Several respondents proposed that ‘We probably need to consider re-establishing strategic co- ordination through something like the former overarching Cape Metropolitan Council’, with Local Municipalities mandated to represent and meet local basic needs. These purposive leadership opinions and perceptions indicate wide recognition of the need for a just transition (Swilling & Annecke 2011) towards a shared strategic vision for integrated developmental governance mechanisms for the Cape Town City-region, with adequate community engagement, empowerment and transparency in decision-making.

It needs to be recognised, however, that sectoral institutional rivalries and reservations regarding the “what’s in it for me?” (Tosti 2007a: 25) definition of priorities, partnership modalities, metropolitan inclusion versus local democracy, sustainability and (importantly) equitable funding mechanisms were voiced by several stakeholders, including the Wesgro and Community Chest Chief 254

Executives (Flaatten 2011; Jones 2012). These potential rivalries and reservations need to be resolved, for whole-hearted commitment by local municipalities and community stakeholder organisations which have concerns regarding big business, provincial and/ or metropolitan domination. The non- participation and public statements of antipathy by labour federation COSATU (Ehrenreich 2012) signal a potentially significant stakeholder gap, which must be pragmatically resolved, for the Economic Development Partnership to become a governance institution for city-regional growth, inclusion and sustainable development.

7.7.2 Desktop Documentary Analysis

In parallel with the range of structured and dialogic interviews conducted with opinion formers, officials and community thought leaders, a desktop assessment of past and current institutional policy and strategy documents within the Cape Town City-region was undertaken. These documents listed below reflect a high level of conceptual expertise and alignment of developmental governance values, modalities, and priorities - not surprising, given the energy and experience of roleplayers in the legislatures, executives and administrations of the PGWC, City of Cape Town and local municipalities within the city-region. Attempts at alignment or constructive engagement with national Constitutional principles, Treasury funding policies and the twelve national Delivery Agree- ment Outcomes is evident in several of these documents; although previous PGWC growth and development strategies and results-based social inclusion initiatives, including those positively reflected in the Territorial Review (OECD 2008a) are apparently discounted by several current administrations, with limited evidence of qualitative analyses or acknowledgement of the earlier initiatives and achievements in current policies, strategies and reports. Poten- tially relevant background documents studied for contextual analysis of city- regional governance results included:

• A Framework for Developing a Human Resources & Skills Development Strategy in the Western Cape (PGWC 2003);

• Towards a Sustainable Development Implementation Plan for the Western Cape (PGWC 2005b);

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• Cape Winelands District Municipality: District Growth and Development Strategy (CWDM 2006);

• Strategic Infrastructure Plan: Transport and Public Works (PGWC 2007);

• Provincial Growth and Development Strategy (PGWC 2008);

• The State of the Population in the Western Cape Province (Marindo, Ed. HSRC Press 2008);

• Saldanha Bay Municipality: Annual Report. (Saldanha Bay 2010);

• Cape Winelands District Municipality: Annual Report. (CWDM 2010);

• Drakenstein Municipality: Annual Report. (Drakenstein 2010);

• Stellenbosch Municipality: Annual Report. (Stellenbosch 2010);.

• Swartland Municipality: Annual Report (Swartland 2010);

• Auditor-General of South Africa: General Report on the Provincial Audit Outcomes of the Western Cape 2009/10 (AGSA 2010);

• City of Cape Town draft Strategic Framework for a City Development Strategy 2040 (CCT 2010c);

• City of Cape Town Spatial Development Framework Report (CCT 2010d);

• City of Cape Town draft Economic Development Strategy (CCT 2010e);

• Five Year Strategic Plan 2010/15. Department of Economic Development and Tourism. (PGWC 2010d);

• Status Report: Executive Projects Dashboard (PGWC 2011e);

• Provincial Economic Review and Outlook (PGWC 2011i);

• Department of Local Government: Annual Report 2011 (PGWC 2011a);

• Department of Human Settlements: Annual Report (PGWC 2011b);

• Provincial Development Council: Annual Report 2011 (PGWC 2011c);

• Department of Transport and Public Works: Annual Report (PGWC 2011f);

• Department of the Premier: Annual Report 2010/2011 (PGWC 2011g); and

• Wesgro: Annual Report 2010/2011 (PGWC 2011h). 256

Perusal of this extensive range of policies, strategic reviews, plans and reports reflected the strengths and shortcomings of the current Cape Town City- regional developmental governance experience and engagements network. This high-potential, ambitious city-regional network is characterised by availability of world-class professional and technical skills for strategic analysis and direction; but with regulatory overlap, a lack of institutional role clarity and duplication of strategies, mandates, resources and expertise, which often require “unique responses for specific contexts ... for sustainable resource use, in which much about public service delivery and the financing thereof, will need to change” (Swilling & De Wit 2010: 28). In assessing these various factors in terms of the S-A-F-R-I-C-A public performance model, one recognises that the dimensions of respective roleplayer Accountability, Financial and other resource Alignment, Community Engagement and transparent, Accessible Data & Evidence of equitable inputs and outcomes will be expected by many stakeholders, for effective collaboration in the city-regional governance project.

7.7.3 Economic Development Partnership: New Horizons for Collaborative City-Regional Governance?

Analysis of the Cape Town City-regional typology, using the Cambridge Econo- metrics framework (Thomas & Robins 2005) referenced in Chapter 5, reflects a “unique mix of urban networks in an export-oriented knowledge economy – in which unemployment has grown into a serious challenge and a shortage of skills in the labour force acts as a constraint on growth and job creation” (Provincial Economic Review & Outlook: PGWC 2011i: 3).

Based on available data including 44 structured interviews with national, provincial, metropolitan and local leaders, significant perceptions of inadequate results-based city-regional governance role clarity for planning, co-ordination and execution are evident. Examples of these intergovernmental relations perspectives and administrative policy perceptions between Provincial Government, the City of Cape Town and significant socio-economic development nodes in neighbouring Saldanha Bay, Swartland, Drakenstein and Stellenbosch Municipalities have been cited in this chapter.

Often, local municipal systems and human capacity contrast with What makes Swartland a Winner factors highlighted by McKenzie and Hetherington (2008). 257

In this regard, Turok (2010) incisively explored the meaning of the developmental state in South African provinces; and the attributes needed for effective intergovernmental realisation of city-regional spatial economic policy. The relative contribution of the City and the six contiguous local municipalities in the City-region to overall regional, provincial and national GDP are depicted below in figure 7.9. These data underscore the results-based governance question about the emerging need for an effective overarching Cape Town City- regional institution, democratically accountable for socio-economic inclusion, cohesion and equitable development.

Figure 7.9: Source: Boraine 2012 Within this post-1994 Cape of Good Hope context, the recent provincial negotiations towards building an inclusive, cost-effective Western Cape Economic Development Partnership (2012) as the collaborative intergovernmental platform to define results-based horizons for focussing the skills and resources of the public, business, vocational education and civil society sectors are well grounded. Looking ahead a decade or two, it seems appropriate now for Cape Town City-region stakeholders to review the strategic factor of results-based institutional power (Clegg, Courpasson & Phillips 2006) which was referenced in chapter 2. Such an institutional review would in time need to update the City-

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regional demarcation of municipalities; and interrogate the modalities for negotiating a collaborative new version of the former overarching Cape Metropolitan Council and local sub-structure roles and functions. This institutional city-regional governance model (Sutcliffe et al. 1998) was rejected in 1998 by the national minister as an inappropriate model at the time of the creation of the Metropolitan Municipality of Cape Town, referenced in chapter 6, primarily because of concerns around equitable revenue sharing and redistribution of metropolitan resources (Moosa 1999).

Provisionally, it may be concluded that much can be gained, in the medium- to long-term, by forging the envisaged City-regional linkages for an Economic Development Partnership, towards the mutual benefit of all communities within the heterogeneous Cape Town City-region. It must also be recognised, however, that mere economic growth, without equitable inclusion in social cohesion and development, remains a potential barrier to commitment by leaders in historically disadvantaged communities, who confided their concerns to the author that ‘neoliberals‘ and ‘big business’ would seek to derive maximum benefits from the Economic Development, at the expense of the social Partnership (Brown 2011; Bagraim 2011; Peterson 2011; Jones 2011; Ehrenreich 2012 and other confidential sources).

Inclusive Cape Town City-regional negotiations should therefore seek to create consensus for an overarching, adequately resourced and collaborative institution - possibly within the former Cape Metropolitan Council or current District Municipality model - with the specific mandate of facilitating the integrated governance transition towards an inclusive, equitable, cost-effective, liveable and resilient city-region (South Africa Civil Society Information Service 2012). Such a results-based, democratic and transparent city-regional institution would need to be competent and capacitated to plan and co-ordinate inclusive Open for Business socio-economic growth; with equitable conditions of service and human development opportunities, in the spirit of the national Constitution and of the Western Cape government slogan Together, Better (PGWC 2010a).

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CHAPTER 8

RESULTS-BASED CITY-REGIONAL DEVELOPMENT AND DEMOCRACY: ASSESSMENTS AND FORMATIVE EVALUATION RATINGS

8.1 INTRODUCTION: DEVELOPMENTAL PUBLIC GOVERNANCE: BUILDING ON WHAT WORKS

In focussing this analysis and formative evaluation of South African results- based developmental public governance towards realisation of the 1996 Constitutional vision, values and principles, two problem-related questions were formulated for interdisciplinary mixed methods action research, namely:

• What original model of exemplary practices should define and inform effective results-based public governance, management and performance improvement in the South African developmental state, in order to facilitate effective realisation of national Constitutional principles and sustainable city- regional socio-economic developmental practices?; and

• Evaluated within such a public performance model, how effective have South African results-based public governance policies, regulatory frameworks, organisational and human performance improvement strategies been in achieving socio-economic developmental goals within the co-operative government constitutional context, as evidenced in the heterogeneous, rapidly urbanising Cape Town City-region?

Study of scholarly journals in the interlinked disciplines of public governance, development policy and performance management has been complemented (and sometimes complicated) by the author’s participation in international academic and professional seminars, conferences and purposive interviews with an eclectic range of governance practitioners, community activists and decision- makers. Data, insights and pragmatic assessments have also been informed by results-based organisational consulting interventions in all spheres of the South African public sector, “constantly seeking evidence of what works”, as Booth (2011) underscores in his Africa Power and Politics Programme policy brief. Considering the constitutional principles, statutory processes, progress

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reports, visions and outcomes of the complex national, provincial and city- regional governance frameworks reflected in this thesis, the intent of this concluding chapter is to review the available data, assess and respond objectively to the above research questions, in order to analyse the significant changes and results-based evidence gleaned from national, provincial and city- regional sources. While the action research analyses (Williams & Hummelbrunner 2009) are not conclusive, but are part of a continuing search for answers, it is possible to undertake a formative qualitative evaluation (Patton 2002) of results-based developmental public governance principles, policies, strategies, obstacles, initiatives and potential outcomes in the new South African nation-state, with special reference to the rapidly expanding, heterogeneous Cape Town City-region.

8.2 MOST SIGNIFICANT CHANGES IN THE NEW SOUTH AFRICA

Much has changed in the post-apartheid South African governance framework and societal milieu, as Njabulo Ndebele reflected on his “experience of being home, having arrived back in 1994” (in Du Toit & Doxtader 2010: 55). One facet of that home-coming experience, Ndebele explained, involved the ability of the new democratic state to meet a variety of basic human needs which the apartheid state deliberately ignored. The other was a question about whether the state is now effectively designed to meet the fundamental socio-economic emancipatory purposes. He expressed deep concern that the “democratic dream is in danger of being destroyed”, despite the many achievements of government since 1994 in nation-building and building houses. “The demands of the new Constitution have not always been fulfilled, because of apparent lack of political will and competent management” (Ndebele 2011). This concern is grounded on the frequent recognition of national governance goals – again enunciated in the State of the Nation address (Parliamentary Monitoring Group 2012a) as the triple challenges of unemployment, poverty and inequality – compared with the apparent lack of co-ordinated, results-based execution.

In reviewing the new South African results-based governance doctrines, data and debates reflected in this thesis, five fundamentally significant changes in the national governance landscape are readily identified, as former President 261

Thabo Mbeki (1998) was able to expound, just four years after the inclusive 1994 elections:

8.2.1 A Common Constitutional Vision After decades of fruitless appeals, attempted internal negotiations with successive Prime Ministers, campaigns of economic sanctions and guerrilla attacks on national key points, the liberation movements found influential allies who initiated talks about talks (Slabbert 2006) which ultimately led to the interim (1993) and final Constitution (RSA 1996a), based on multi-party consensus on a common vision of the supreme law of the Republic, so as to “heal the divisions of the past … improve the quality of life of all citizens and free the potential of each person” (Mbeki 1998). Adoption of this liberal, non-racial Constitution - so different from any former South African constitution - was a momentous document for governance change, with implications for all citizens. Its principles were not necessarily welcomed by all, with regard to the compromises and concessions made in the sometimes tense give and take of the CODESA and Multi-party Negotiating Forum chambers and corridors. Linked with the fundamental change towards a non-racist, non-sexist ethos enshrined in the new Constitution was section 195(1), prescribing that “public administration must be governed by the democratic values and principles of Professional Ethics, Trust, Reciprocity, Collaboration, Accessibility, Empowerment and Participation”. These values and principles were not previously typical of South African governance prescripts and aspirations.

8.2.2 Reconstruction, Development and Macro-Economic Policy

The new South African state’s adoption of the results-based framework of the Reconstruction and Development Programme (RDP 1994b) became the policy foundation on which all national socio-economic programmes and projects were predicated. The five key transformation goals of the RDP were embodied in the “National Growth and Development Strategy” (RSA 1996c) and progress towards the five goals was regularly reviewed by gatherings of the Intergovernmental Forum of national and provincial political leaders and officials. Even after the decision to mainstream RDP goals and principles into every ministry (rather than continue the specialist RDP portfolio), national macro-economic policy and public service staff induction materials were imbued 262

with RDP values and goals. In the process, concepts of performance measurement and a results-based approach to accountability became pervasive (if not always popular) topics in South African developmental public governance policies, Medium Term Strategic Frameworks, Treasury funding processes, Ministerial Delivery Agreements and Provincial Growth and Development Strategies, as have been exemplified and assessed in earlier chapters.

8.2.3 The Inevitable Need for a Culture of Co-operation

The changes in governance strategy and structures from separate development, own and general affairs, were not only significant in legislatures, municipal council chambers and managerial performance agreements across all spheres. The culture of co-operation soon became evident in many South African governance platforms and institutions – not always voluntary nor normative, but inevitable and inexorable - for those who chose to make our democracy work, seeking stability and mutual understanding in building a shared future in the new Rainbow Nation. A significant change in point was the creation of the “National Economic Development and Labour Council” (NEDLAC) as a forum for employer, employee and state stakeholders to seek consensus on industrial relations policies, principles and draft legislation; rather than perpetuate the formerly entrenched adversarial workplace attitudes.

8.2.4 The African Renaissance: Opportunities and Challenges

Many South Africans saw the changed circumstances in their country, together with geo-political transitions in neighbouring states and elsewhere in Africa, as an African Renaissance with challenging socio-economic, security and diplomatic opportunities, continentally and globally. This rebirth of shared hope and renewal governance goals, epitomised in the Organisation for African Unity’s “New Partnership for Africa’s Development” (NEPAD) (OAU 2001) was insightfully described in Kotze and Solomon (2008). Much of the South African contribution to the African rebirth was built on the inherited economic infrastructure described in chapter 3, through solidarity contacts made in the years of exile by liberation movement leaders; and on the entrepreneurial acumen and aspirations of South African businesses, eager to expand their operations and profits throughout Africa and beyond. 263

On the diplomatic front, South Africa began to participate in trilateral Official Development Aid (ODA) agreements with several other African states, as a partner/donor with major agencies and developed countries. The former Deputy Foreign Minister (Van der Merwe 2010) indicated that the South African Devel- opment Partnership Agency (SADPA) is a signatory to several such trilateral developmental agreements on the continent, as well as accepting leadership opportunities within African Union and United Nations committees and hosting periodic African Parliament sittings in Midrand.

8.2.5 In Search of Equity in Land, Education and Lifestyles

The great expectations of the Freedom Charter (1955) fruits of democracy referred to in earlier chapters have arguably been the key driver of change in the new nation-state’s policies, resource allocation, civil society activism and governance discourse. Governance principles of equality and equity were soon entrenched in legislation and policy pronouncements; including labour legislation, access to land, education opportunities, job creation, career scope and Black Economic Empowerment (BEE) protocols for the awarding of government tenders and contracts. A recent study of land release and subsidised housing trends (Urban Landmark 2011) indicated significant state investment in land and bulk infrastructure costs, which may not be sustainable, in seeking to provide housing for all citizens. Analysis of social housing waiting lists, development results and financial implications in the Western Cape and Gauteng predict positive returns on investment of 6% in the Cape Town City-region, compared with negative returns of - 32% in Gauteng (2011:3).

It would be naïve to ignore the range of tensions, intolerance and tender- preneurial tendencies that these most significant changes have brought with them - sometimes based on motives of entitlement, as recompense for the former oppressive apartheid governance agenda – but equally often based on ineffective application of the Constitutional public governance principles and practices; as well as in the results-based governance policies and management mechanisms cited in chapter 4.

All these significant changes, it needs to be acknowledged, are developmental governance work in progress. The potential effectiveness of their implementation and realisation of developmental governance results are the 264

subject of critical analysis and formative evaluation in this chapter, using the purposive design of the original S-A-F-R-I-C-A public performance model.

8.3 THREE GOVERNMENT SPHERES IN RESULTS-BASED HARMONY?

The constitutional construct of co-operative government between three distinctive, interdependent and inter-related spheres is pivotal to the results-based developmental framework of the new South African nation-state. Repeatedly referenced in documentary evidence and interviews in this thesis, the harmonisation of the powers, functions and strategies of South Africa’s three spheres (rather than the former tiers) of government has not always been clearly communicated and applied – by politicians, officials and citizens alike. The author has not infrequently observed national ministers and senior officials mouthing the notion of spheres, but gesturing a hierarchy of tiers, indicating the democratic centralism thinking which frequently persists in the body politic. Achieving results through harmonisation of the three distinctive, interdependent and inter-related spheres, as described in section 40 of the Constitution, has therefore proved problematic, within the organisational forms and budget cycles which render public services to citizens, depicted in figure 8.1 below.

Figure 8.1: Source: DDG: Organisation Development, DPSA: Clarke 2011

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The intergovernmental policy framework in figure 8.2 below is depicted by Cape Town’s Department of Economic and Human Development in an Economic Development Strategy (CCT 2010: 7), illustrating the City’s developmental governance linkages and results-based integration between the three spheres.

Policy Framework for Economic and Human Development Co-ordination of Three Spheres of Government

National GEAR ASGI-SA MERS GDS

NSDP NIPF NUDF

Province PGDS GDS SIP

MEDS PSDF Lkapa Elihlumayo

Functional Region Cape Town Functional Region Development Strategy

City

30+ City Development Strategy yrs

6- EDS ITP SDF Others 20 yrs

City Growth Management Plan 10 yrs 5 Integrated Development Plan yrs

District

Informal Local Area Economic Sector 3-5 Trading Policy Development Policy Support yrs Framework

1-3 Medium Tern Revenue & Expenditure Framework yrs

1-3 yrs Service Delivery & Budget Implementation Plans

Figure 8.2: Source: draft Economic Development Strategy CCT 2010e

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Perceptions amongst politicians, officials and community stakeholders about the effectiveness of the three spheres co-operative government system and especially the common competences referred to in chapter 3, vary significantly – based on ideology, experience and commitment to the constitutional vision. In the PGWC 2009/10 Budget speech (PGWC 2009), Finance MEC Strachan emphasised that “the Provincial Government of the Western Cape’s points of departure … are guided by the national budget principles; to push back the frontiers of poverty and…narrow the gap between rich and poor; and to work together to make it happen” (PGWC 2009: 4).

Similar strategic co-operative principles are not readily evident in the PGWC 2011/12 Budget speech (PGWC 2011m) and Provincial Economic Review & Outlook (PGWC 2011i); nor are they highlighted in the draft new Provincial Strategic Plan (PGWC 2010a). Although commitments to the national Constitutional values of section 195(1) are typically expressed, governance gaps between the three spheres were often evident in earlier references to city- regional transport infrastructure and services, social development agency co- operation, spatial planning and provision of equitable services.

In fact, Koelble and LiPuma (2010) adamantly stated in their “results-based study of 18 municipalities across the Eastern and Western Cape, that the problem of non-delivery is located in a lack of local state capacity and unwillingness on the part of the central state to enforce the existing legislative rules on its own operatives in local government” (2010: 585)

In certain portfolios and Cape Town City-regional governance programmes, however, collaboration towards shared Strategic Vision, Accountability, Financial Alignment and Accessible Data is increasingly evident, across the three spheres. A notable example is that of public transport, identified earlier as a key component of city-regional socio-economic integration. Jeremy Cronin (2011), national Deputy Minister for Transport; Robin Carlisle (2011), PGWC MEC for Transport & Public Works; and Brett Herron (2011), Cape Town Mayoral Committee member for Transport, Roads and Storm water, all indicated their satisfaction with similar problem analysis, shared strategic goals and sound working relationships. They all recognised the need for achievement of a well-aligned city-regional public transport system which will integrate former 267

apartheid spatial divides, update national Land Transport Act (RSA 2009k) licencing and subsidy regulations and effectively devolve road and rail transit accountability and funding to the Cape Town Metropolitan Municipality within the near future; so facilitating achievement of the social cohesion and economic development results motivated by Marsden (2011) in the previous chapter.

The politics of global competitiveness (Cammack 2006) have increasingly motivated the subordination of political differences and governance challenges highlighted by Kondlo and Maserumule (2010) to shared results-based developmental programmes, through the MinMEC consultative planning system; and in pragmatic commitments to regional socio-economic developmental projects. A current example is the proposed multi-sphere platinum beneficiation and Industrial Development Zone (IDZ) project in Saldanha Bay, for which the author has been tasked with facilitating a change management process, bringing together the city-regional stakeholders to define win-win outcomes, based on the situational analysis for results-based governance, stability and competent management with the Saldanha Bay Municipality Mayor, Municipal Manager and PGWC Department of Local Government (Jager 2011; Scheepers 2012; Barnard 2012).

8.4 ECONOMIC DEVELOPMENT PARTNERSHIP: TOWARDS AN INCLUSIVE CITY-REGIONAL GOVERNANCE MODEL?

Generic typologies of functional city-regions were noted in chapter 5, manifested by differing service or resource management priorities, fit for purpose governance approaches and management modalities. These city-regional typologies are seldom perfectly aligned with administrative jurisdictions, yet seek to facilitate strategic developmental planning, results-based governance accountability, equitable resource allocation and systems of collaborative community engagement for socio-economic development. In terms of the pragmatic principles and experiential lessons shared by well-informed academics and seasoned hands-on practitioners during the ISPI (2010), OECD/IMHE (2011) and ICMA (2011) conferences, it is possible to analyse the potential viability of the provincial Economic Development Partnership (EDP) initiative outlined in chapter 7, as a vehicle for sustainable, results-based socio-economic 268

developmental governance in the Cape Town City-region. The inclusion agenda depiction in figure 8.3 below, from the PGWC discussion document Introduction to the Cape Economic Partnership (PGWC 2011k), provides a framework for such S-A-F-R-I-C-A model analysis.

Examples of an economic inclusion agenda:

Figure 8.3: Source: Introduction to the Cape Economic Partnership PGWC 2011k

Many of the challenges, debates, concepts and solutions envisaged in the Cape Economic Partnership (later renamed Economic Development Partnership) discussion paper (PGWC 2011k) are deeply embedded in intergovernmental policy debates within the Cape Town Metropolitan and contiguous Local Munici- palities in the City-region. For example, the Updated Growth Scenarios (CCT 2008), draft Economic Development Strategy (CCT 2010e) and the 2007-2012 Integrated Development Plan (CCT 2007) all underline the importance of economic growth as the primary vehicle through which to address the city- regional development goals of reducing urban poverty and unemployment.

In several of these strategic City documents, the vision of socio-economic growth has also sought to integrate “environmental sustainability, which is

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identified as one of the key result indicators of the City’s Economic Development Strategy” (CCT 2010e). What is now essential, according to a significant majority of city-regional stakeholders whose results-based governance perceptions and priorities were gauged in dialogic interviews, is to build a multi-sphere civil society partnership platform for negotiating and co- ordinating spatial, human and economic development. This city-regional partnership platform needs to be based on results-based norms of socio- economic cohesion, strategic planning and evidence-based monitoring and evaluation; as assessed independently with Andrew Boraine (2011; 2012), facilitator of the provincial Economic Development Partnership project; and with Zeenat Ishmail (2011), Chief Director: Monitoring & Evaluation in the Department of the Premier.

The “Sustainable Development Summit”, organised by the multi-stakeholder Provincial Development Council (PDC) in June 2005, adopted a socio-economic Sustainable Development Implementation Plan (PGWC 2005b) which could have positive governance implications for the heterogeneous Cape Town City- region. The Summit defined “a framework for positioning the province to lead the way, nationally and internationally”, with respect to “results-based sustainable socio-economic and ecosystem developmental strategies, focussing on:

• Greater equity in wealth and land distribution;

• Job creation through economic development and investment strategies;

• Incorporation of biophysical and ecological limits in planning and decision – making, for sustainable use of biodiversity and other natural resources;

• Sustainable living within peaceful, economically viable communities;

• Internationalisation of environmental and social costs in the design and operation of production and consumption systems; and

• Promotion of environmental, social and economic justice”.

According to MEC for Economic Development Winde (2011) the PDC was to be disestablished in 2012, perceived as not generating cost-effective results. Several PDC members, notably COSATU Provincial Secretary Ehrenreich

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(2012) indicated their serious concern that no inclusive forum to pursue the above goals and to fill the potential vacuum in social cohesion governance has yet been announced. It is questionable, therefore, why the EDP mandate appears to minimise issues of sustainable socio-ecological growth and human development equity, for multi-lateral City-regional co-operation. In the Western Cape context, the EDP City-regional governance model, possibly a precursor to a new overarching City-Regional Council of mandated institutional and sectoral delegates, could give legitimate voice to existing PDC goals (PGWC 2005b). These socio-economic developmental imperatives were reinforced by the civil society Good Governance Learning Network (2011), including:

• Overcoming apartheid spatial relations through densification and multi- income settlements – with positive spin-offs for public transport routes and location close to work opportunities;

• An approach to economic growth and development in which process, means and benefits are shared, and equitably redistributed among all sections of society. There is an explicit bias towards those who are marginalised and excluded from current patterns of growth and development;

• Addressing energy security and natural resource constraints, through ensuring that recycling and increased usage of renewable energy lie at the centre of economic growth and development; and

• Re-conceptualisation of the city-regional socio-economic goals in such a way that historically disadvantaged communities are perceived as inherently having a role to play in economically productive developmental activities.

If the current conceptual EDP mandate were to embrace these cross-cutting facets of inclusive civil societal empowerment and sustainable socio-ecological development, linking with the National Development Agency, Development Bank of Southern Africa and other sources of developmental funding, its results- based governance mandate in the Cape Town City-region might more appropriately be branded as the Empowerment and Development Partnership.

Furthermore, the International City/County Management Association (ICMA) research report on Six Characteristics of Innovative Local Governments (Svara & Thoreson 2009) offered relevant insights into the institutional cultures of 271

award-winning results-based local and regional governments in North America, which would add value to the institutional culture of the envisaged Cape Town City-regional developmental forum: Innovative Leadership; Creativity; Internal Collaboration; External Partnerships; Community Connections; and Results- focussed, recognising measurable change, costs, benefits and beneficiaries.

8.5 SKILLS DEVELOPMENT: A LEARNING COUNTRY AND CAPE?

The significant changes of post-1994 societal transformation and administrative reform challenged the experiential learning of many black South Africans who were expected to fulfil results-based managerial and technical roles in the new administrations; and so to redress inherited apartheid governance inequality and imbalances. Chelechele (2009) assessed these competence obstacles to rapid and effective public sector skills development; and suggested solutions to mitigate the learning challenges in the medium term. The vital results-based human performance developmental prerequisite for cost-effective public governance has been consistently evident throughout this thesis. Accelerated vocational skills development and management competence was highlighted as a fundamental need in chapter 1 by an eminent economist (Abedian 2008), and again at the Economic Development Partnership launch, towards building the Cape Town City-region’s capacity for achieving sustainable socio-economic developmental goals. Recognising this prerequisite, the PGWC had some years ago published “a framework for developing a Human Resources & Skills Development Strategy in support of national policy” (PGWC 2003).

Co-operative government and vocational skills development were expressed as essential elements of building stronger, cleaner and fairer city-regions in all trans-national seminars during the OECD/IMHE (2011) and ICMA (2011) conferences, referenced in chapter 5. In evaluating the strategic trajectory and progress to date of results-based developmental governance in South Africa and the Cape Town City-region, therefore, purposeful policies and strategies for human development, employability and performance improvement must be realistically reviewed and implemented.

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Effective co-ordination between the national and provincial spheres in promoting and implementing education, training and adult continuing learning has been sporadic; the national Department of Basic Education’s decision to take over administration of the Eastern Cape school system in 2011, marked by determined resistance by provincial officials and teacher unions, is an unfortunate instance of disharmony in co-operative government.

The apparent disjuncture between the school (Basic Education) and post-school (Higher Education & Training) systems was highlighted in an interview with the Gauteng Province MEC for Education (Creecy 2011). She argued that “there is an urgent need to review legislation and policy, particularly relating to the quality of teaching; improved support to learners; and governance matters relating to financial controls. In my experience, several colleges and universities are crisis- ridden, so having adequate trouble-shooting capacity, with political acumen, would be helpful” (Creecy 2011).

National summits, priorities and programmes for accelerated education and skills development have frequently been evident since 1994; these results- based goals feature specifically in national Outcomes 1 and 5 (RSA Presidency 2011), especially with regard to the need for a skilled and capable workforce to support economic development and job creation goals. National strategy has also created the National Qualifications Framework (NQF), Sector Education and Training Authorities (SETAs), Human Resource Development Council of South Africa (RSA undated b), Quality Council for Trades and Occupations and recent updates to the National Skills Development Strategy (RSA 2011a). These are all co-ordinated by the Department of Higher Education and Training (DHET), newly instituted in 2010 with a mission to ”develop capable, well- educated and skilled citizens that are able to compete in a sustainable, diversi- fied and knowledge-intensive international economy, which meets the developmental needs of our country” (DHET Strategic Plan: RSA 2011a: 5).

In order to realise results-based governance objectives, the need for accelerated technical and managerial skills development in all three spheres of government has been a stated goal of the Local Government and Public Service SETAs; and of the Public Administration Leadership And Management Academy, as referenced in chapter 4. The latter two components are closely 273

linked with the Department of Public Service and Administration (DPSA), which included the conceptual illustration of public service departmental leadership and managerial competences depicted in figure 8.4 below, in its Guide and Toolkit for Organisational Design (RSA undated a); on which Senior Manage- ment Service (SMS) job competence analyses and managerial skills training and development programmes are based.

DPSA Management Levels Competence Hierarchy

Figure 8.4: Source: DPSA Toolkit for Organisational Design. (RSA undated a)

In the Western Cape province and Cape Town city region, the Learning Cape Initiative (LCI) is a positive example of innovative collaboration between Provin- cial Government, the City and civil society organisations (Barry 2001). The Learning Cape Initiative as an implementation agency of the Provincial Government, grew from the Provincial Development Council (PDC) and the Provincial Growth and Development Strategy (PGWC 2006a) processes.

Subsequently, a series of discussions, sector consultations and debates agreed that the LCI would strive to promote lifelong learning and mobilise social partners towards establishing a world-class learning region within the province.

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LCI was registered as Economic Development in a Learning Province, a non- profit company. The Learning Cape director (Barry 2011) explained that the LCI operates and intervenes within contested terrains, where it seeks to apply innovative thinking and lifelong learning methodologies to mobilise individual and collective agency towards making a difference within the education-economy continuum. The Learning Cape Initiative required consistent participation from all its associates, as it was intended to become a gateway through which human developmental possibilities are created for all people, by promoting lifelong learning and innovative ideas, to help people better themselves, their region and their country. “We commit to continually learn through research, use of participatory methodologies, institutional co-ordination, reflection on our methodologies and practices, reporting accurately and through intentional and emergent planning” emphasised Barry (2011).

Western Cape Premier Helen Zille relaunched the Provincial Skills Develop- ment Forum (PSDF) in June 2011. In a media statement (Zille 2011) she commented that while the people of the Western Cape, relative to the other eight provinces, had greater access to internet and computers, a better educated population, excellent school and tertiary institutions and a burgeoning services sector, “the province was faced with numerous challenges when it comes to job creation and skills development. These challenges included:

• Youth unemployment was high, particularly amongst young people under 35, who have no education, complete General Education & Training or incomplete vocational qualifications through Further Education & Training;

• The population is increasing faster than the number of jobs created; and

• There is a mismatch between the supply and demands of skills”.

Accordingly, “the primary purpose of the Provincial Skills Development Forum is to coordinate skills development in the Western Cape, so as to ensure that interventions translate into real opportunities for all citizens”(Zille 2011). In addition, the PSDF seeks to bring all three spheres of government, higher education, organised labour and business together to achieve the following results:

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• Create public/private partnerships aimed at leveraging funding and services for targeted and relevant skills interventions;

• Pilot innovative skills development interventions that not only meet the demands of the labour market but are flexible to its needs; and

• Provide on-the-job training for entry level, school and Further Education & Training college learners to enhance the relevance of their education and skills in order to improve their chances of finding long-term employment.

The relaunched Western Cape PSDF consists of three purposive structures:

• The Premier's Council on Skills (PCS): This body is comprised of representatives from government, higher education, organised labour and business, and will be responsible for providing leadership and direction;

• A Technical Working Group (TWG): This group seeks to ensure that the skills agenda developed by the PCS is translated into practical interventions that are implemented. It is also be responsible for monitoring and evaluating these interventions and dealing with any bottlenecks that have arisen; and

• Secretariat: The PSDF secretariat consists of provincial government officials required to provide technical, professional and administrative support to both the PCS and the TWG.

As with many other facets of the new South Africa’s democratic development and governance, varied voices are vocal in the vocational education and skills development sector. As organisation development consultant to the DHET and a member of the Wholesale & Retail SETA Qualifications Management Board, the author has been exposed to several opinions from well-informed stakeholders, regarding the national and city-regional skills development priorities, progress and pitfalls; including informative interviews with:

• Samuel Isaacs (2011) Chief Executive of the South African Qualifications Authority (SAQA): “We need to learn, as a nation, how to navigate our sometimes complex learning systems, with better articulation and co- ordination.”

• Joel Dikgeng (2011) Chief Executive of the Wholesale & Retail SETA: “Too often, the national departments and quality assurance bodies lack consis- 276

tency in their financial planning and implementation capacity; there is often an Us and Them culture.”

• Judy Braune (2011), a training provider to small and medium-sized businesses in the City-region: “Red tape makes training implementation so slow! SAQA and Quality Council for Trades and Occupations (QCTO) bureaucracy is sometimes out of touch with the real world, and their policies and procedures cause bottlenecks, which demotivate trainers and learners.”

Enhanced “Investment in People” vision is on the horizon, however. A revised Green Paper for the Post-school Education and Training system (RSA 2011f) has been published, to support the achievement of national Delivery Outcome 5, referenced in Chapter 4. DHET ministerial policy advisor John Pampallis (2011) explained that this Green Paper included “the following key principles:

• Education and training is a crucial element in the developmental strategy for South African society. Government’s commitment to expanding and giving full measure to democratisation requires a commitment to promoting equity among the country’s citizens;

• Access to post-school opportunities for youth and adults must be greatly expanded. A range of education and training options must be offered in differentiated Higher and Further Education and Training sub-systems;

• Formal education institutions and the SETAs will co-operate to strengthen one another; and seek to build synergies within the post-school system;

• Formal education and training institutions must work in partnership with public and private sector employers to assist in finding opportunities for work-integrated learning; and

• It is essential to provide forums for stakeholder participation in decision- making at all levels of the Higher Education and Training system. Systemic articulation ladders should be built between various levels of the system, allowing students to move from one institution to another”.

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8.6 THE WESTERN CAPE: “BEST-RUN REGIONAL GOVERNMENT IN THE WORLD”?

The newly-formulated Provincial Strategic Objectives (PSOs) (PGWC 2009b) which were cited in chapter 7, exemplify the thorough situational analyses and institutional needs assessments initiated by the incoming Democratic Alliance administration, as part of the PGWC Modernisation Programme. This programme was underpinned by a series of functional Blueprints (PGWC 2010a), aimed at enhancing results-based institutional coherence, capacity and co-ordination. Conceptually, the documents assessed and dialogic interviews held with political thought-leaders, senior officials and decision-makers indicated the intention of cascading and co-ordinating these organisation development and results-based governance processes through all PGWC departments, entities and municipalities within the Cape Town City-region.

Provincial Strategic Objective 12 (PSO 12) of “Building the best-run regional government in the world”, was described to the author as “spectacularly ambitious” in an anonymous interview with a provincial MEC, and as “a bit of a giggle” by a group of equally anonymous senior PGWC officials. This objective’s centrality to the thesis problem statement and research questions, coupled with the need for realistic executive commitment, credible measurement and co- ordinated management implementation, justifies collective empowerment evaluation (Fetterman 2001) by Cape politicians, professionals and civil society leaders, in order to achieve inclusive results-based governance outcomes.

This pragmatic view was shared by several thought-leaders from distinctly different perspectives: Anton Bredell (2011), MEC for Local Government & Development Planning (and formerly mayor of the Swartland Local Municipal- ity), Herbert Hirsch (2011), former President of the Cape Chamber of Commerce and executive member of the Provincial Development Council, Lynne Brown (2011) former PGWC Premier and now Leader of the Opposition in the Provincial Legislature; Tony Ehrenreich (2011), COSATU Western Cape leader and aspirant mayor of Cape Town, Pravine Naidoo (2011), Executive Director: Strategic Services of Drakenstein Municipality, Alan Jackson (2011), Secretary of the Greater Cape Town Civic Alliance, Aziz Hardien (2012), PGWC Chief Director Financial Governance; and Andrew Boraine (2012), chief 278

executive of the Cape Town Partnership and project leader of the newly- launched Western Cape Economic Development Partnership.

Figure 8.5 (below) illustrates the conceptual framework of Provincial Strategic Objective 12 results-based governance, as outlined to the author by Theuns Botha (2011), Western Cape Leader of Government Business in the Provincial Parliament. Botha highlighted that internationally experienced academic and governance practitioner sources had facilitated conceptualisation of the framework, as a basis for transversal governance policies and management principles. This governance framework will inform all PGWC departments and agencies in their programme strategic objectives, service standards, indicators, implementation, monitoring and evaluation of results.

Western Cape Provincial Strategic Objective 12: conceptual framework

Figure 8.5: Source: Department of the Premier ( PGWC 2011d )

Next steps in the PGWC results-based governance thrust towards refining and synchronising implementation of PSO 12 across all departments in their areas of accountability, as encapsulated in strategic objectives 1 to 11, were taken in a Department of the Premier (DotP) senior management workshop on

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Measuring Good Governance in the Western Cape, held in November 2011. Funded by the Konrad Adenauer Stiftung (KAS), a foundation which has initiated studies of electoral accountability and provincial powers in the new South Africa (KAS 2007; 2008), this workshop brought together senior DotP officials and leading governance academics to grapple with the relevance and validity of indicators of best–run regional government; seeking credible comparative indices.

The author’s assessment during this thought-provoking workshop was that many of these normative and instrumental results-based governance concepts were unfamiliar to several senior PGWC officials. Much clarification, research and interdepartmental alignment would be needed, for integration of the PGWC transversal results-based governance indicators into meaningful, motivational departmental strategies and results-based reports, aligned with “Delivery Outcome 12: An efficient, effective and developmental oriented public service and an empowered, fair and inclusive citizenship” (RSA Presidency 2011).

Ironically, it became clear in the DotP management seminar that the PSOs did not meet the norms and standards of national Treasury and Auditor-General constructs depicted in chapter 6 These norms include the S-M-A-R-T definitions of predetermined objectives as required by the Auditor-General, noted in the AGSA Drakenstein Municipality report (AGSA 2011), referenced in chapter 7. Few shared definitions were agreed of meaningful indicators of the best-run regional government in the world; and it seemed that the pronouncements of a “bold vision, cutting out inefficiencies” and “we have a plan that is being fully operationalised” in the Provincial Budget Speech 2011/12 (PGWC 2011n) were goals which needed to be realistically defined in measureable, internationally comparable results-based governance indicators within the South African constitutional mandate for co-operative government.

Subsequent consultations with public governance performance measurement sources in North America, Europe and Australasia, seeking to determine whether any existing indices or networks might provide a credible basis for comparison of performance indicators with relevant sub-national administrations, have yielded little such data. In fact, the advice of well-informed sources in the American Society for Public Administration (Holzer 2012), the Baldrige 280

Performance Excellence Award (Hertz 2011), the Office of the Governor of Maryland (Brenner 2011), the International Society for Performance Improve- ment (Tosti 2012) and the Harvard University Kennedy School of Government (Behn 2012) was that “no comparative public governance index of indicators currently exists, as a framework for assessing the ‘best-run regional / provincial government in the world”.

In fact, Hertz (2011) stated that no North American state, province or county had achieved the Baldrige Performance Excellence Award (2011). Brenner (2011), Tosti (2012) and Behn (2012) all questioned the value of comparative indicators of a best-run regional government, when what mattered in their opinions were “the governance and service results achieved”, in the regional context. National Planning Commissioners Vivienne Taylor (2012) and Tasneem Essop (2012) also indicated that NPC strategic research had not identified a comparative index which would be relevant for use in the South African developmental governance context.

Ivan Meyer (2011), the MEC accountable for conceptualisation of the PGWC Modernisation Programme, affirmed that three broad provincial governance indicators were vital: departmental service standards, defined in PSOs 1-11; with transversal financial and human resource governance efficacy, yet to be defined in PSO 12. Meyer also acknowledged the need for a credible set of results-based indicators for regional / provincial governance, which could possibly be adapted from the existing and credible Index of African Governance (Rotberg & Gisselquist 2009) set of established national data, now known as the Ibrahim Index of African Governance (Mo Ibrahim Foundation 2011) referenced in chapter 3. Without a baseline in an established comparative index, the PSO 12 goal of “building the best-run regional government in the world” may remain a political ambition, without results-based governance indicators.

8.7 RESULTS-BASED PUBLIC GOVERNANCE IN SOUTH AFRICA: FORMATIVE EVALUATION INDICATORS Is the new South African results-based developmental public governance journey sustainably on track? Are the Constitutional vision, values and governance principles (RSA 1996a) being economically, efficiently and effectively 281

implemented, in terms of appropriate regulatory frameworks, administrative compliance, political integrity and socio-economic developmental outcomes? What significant changes provide evidence that the five World Bank (1991) dimensions of public governance - noted in chapter 2 as widely accepted indicators of the path to achieve sustainable results-based development - are in fact realising the great expectations of South Africans for the nation-state’s fruits of inclusive democracy, as euphorically defined in the 1996 Constitution?

In this concluding chapter, one is conscious of Slabbert’s (2006) anecdotal reflections on political transition and “emerging programmatic infrastructure to underpin the myths of the new South Africa” (2006: 163). Relevant evidence of well-grounded presence and deep-rooted nurturing of results-based governance practices will be assessed and analysed, in formulating a utilisation-focussed formative evaluation of indicators of sustainable developmental governance.

8.7.1 Accountability

As exemplified in chapter 4, South African legislation and regulations in all three spheres provide clear and unambiguous requirements for institutional and individual accountability, responsiveness and openness (RSA 1996a: chapter 1.d). Besides the institutional oversight and results-based mechanisms assessed in chapter 4 of this thesis, requiring legislatures in all three spheres to hold their executive arms accountable for their mandates and defined objectives; clarity of job descriptions and performance agreements is required for all officials; although the author has not infrequently encountered branches and municipalities in the city-region without current, results-based documents for their staff (Berretti 2011; Carlisle 2011; Coltman 2011; Ishmail 2011; Jager 2011; Kabanyane 2011). Accountability for results, linked with appropriate consequences, in terms of Binder’s (2005) performance model referenced in Chapter 2, is ostensibly intrinsic to the public sector performance and development systems. As the Public Service Commission and Auditor-General reports referenced in chapter 4 have repeatedly indicated, however, these results- based governance norms and standards are often not in use. Lack of effectively co-ordinated basic results-based governance, integrity and performance management processes within the Cape Town City-region is arguably one of the more significant obstacles to sustainable development, 282

requiring concerted intergovernmental leadership action, for consistent accountability and functionality. Shared concerns around these public governance issues would have prompted the organisers of the 13th International Winelands Conference (2012) to select their challenging conference theme of “Integrity and governance: What is wrong ? What is good ? What is next ?”

The use of closed list proportional representation and lack of constituency accountability for national and provincial elected representatives has been cited in several reports, including Chiroro’s (2008) Policy Paper for the Konrad Adenauer Stiftung. Although there are positive examples of legislature portfolio committees which are effectively used by members (typically from opposition parties) to challenge information provided, and to probe for greater accountability and transparency in departmental and municipal annual reports, demonstrable executive accountability for governance results is not the norm, as in many more mature democracies; even at city-regional level as in Washington DC, the State of Maryland and the City of Charlotte, cited in chapter 2.

The 12 national Delivery Agreements assessed in chapter 4 are beginning to build a culture of ministerial accountability for results – though the author has seen little systemic engagement in recent years towards enhancing departmental programme management accountability, with concomitant recognition and reinforcement of results. This is especially counter-productive when continuing non-performance is evident, as with the Department of Rural Devel- opment and Land Reform’s endemic lack of strategic implementation and provincial co-ordination. Council for the Advancement of the South African Constitution board member and Citizen Movement for Social Change trustee Ndebele (2011) lamented that “our democracy has failed to reverse the far- reaching disempowerment inflicted on many citizens by apartheid”; and “improved governance accountability and service standards in the Department of Home Affairs is remarkable, yet rare”. At Cape Town City-regional level, Institute for Accountability director Hoffman (2012) argued that “the importance of responsiveness to the needs of ordinary people as a foundational value in the new South Africa” is not yet recognised as a key component of results-based public governance accountability.

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8.7.2 Transparency and Open Information Systems

As was noted in the introductory chapter of this thesis, public concerns have been raised since 1999 regarding the core governance principle of Transpar- ency and Open Information Systems, with regard to the controversial arms deal offsets and alleged procurement corruption at high level, in contravention of the Constitution (RSA 1996a). Constitutional clause 217(1) stipulates that “when an organ of state in the national, provincial or local sphere contracts for goods or services, it must do so in accordance with a system which is fair, equitable, transparent, competitive and cost-effective”.

Besides Parliamentary opposition questions raised regarding aspects of the legality, transparency and cost-efficiency of the multi-billion Rand procurement contracts for defence equipment, a lone citizen, Terry Crawford-Browne, has for many years challenged the constitutionality of the arms deal, seeking legal probes into possible corruption. Using the courts and Parliament’s Standing Committee on Public Accounts (SCOPA), Crawford-Browne (2011) confirmed to the author that he had ultimately secured Presidential assent to a judicial inquiry; and that all his legal costs incurred would be paid for by the state. He explained that his long campaign in alliance with Economists Allied for Arms Reduction (ECAAR–SA 2003) was motivated by commitment to South Africa’s constitutional values, vision of equitable democratic systems and principles of social justice. His lawyers had won a major landmark victory in South Africa’s constitutional jurisprudence. At issue, he emphasised, was the assertion of the Constitution as the supreme law of the land; and of the authority of the Consti- tutional Court over the President and the executive. This had been asserted in public statements, such as the press release (ECAAR-SA 2003), providing evidence of confidential loan agreements for the arms deal, signed by the Minister of Finance. It would be argued at the judicial commission of inquiry that the arms deal was unconstitutional in terms of clause 217 (1). Offsets are internationally notorious for corruption, yet the arms deal was premised upon the supposition that R30 billion spent on armaments would generate R110 billion in offsets, which would create 65 000 jobs. Crawford-Browne (2011) stated that an affordability study had informed the Cabinet that, in fact, the consequence of the arms deal could be the loss of up to 150 000 jobs.

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He argued that the ”arms deal offsets scandal had unleashed a culture of corruption in South Africa that is estimated to be costing the country R675 billion annually” and stated that “this is just the beginning, albeit it has taken 12 years to get here since Archbishop Ndungane first called for a judicial commission of inquiry, back in August 1999” (Crawford-Browne 2011).

Another key indicator of democratic transparency and open governance systems, which has been the subject of intense debate in South Africa is that of media freedom and state protection of information. The Constitution (RSA 1996a) Bill of Rights, chapter 2 section 16(1) unambiguously limits the situations in which the state should be allowed to limit transparency and infringe freedom of expression by citizens and the media; yet controversy has surrounded the Protection of Information Bill since its introduction. At a Harold Wolpe Trust public lecture, Pierre de Vos (2010), Professor of Constitutional Governance at UCT, stated categorically that this bill was fatally flawed, in that it would allow any head of an organ of state to classify any document as confidential, with severe penalties for possession of such document by journalists or citizens; importantly, without any provision for a public interest legal defence. Despite a series of public hearings and a campaign led by the South African National Editors Forum and broad civil society alliance, few amendments were made to the draft submitted to the National Assembly on 22 November 2011; and it seems likely that, if assented to by the President, the legality of the statute without a public interest protection clause will be tested by an application to the Constitutional Court (Constitutionally Speaking 2011).

8.7.3 Organisational Effectiveness

Organisation design and managerial competence are the drivers of institutional development and achievement of strategic vision and mission, as was referenced in chapter 2 with the 7-S McKinsey framework In Search of Excellence (Peters & Waterman 1982). These factors underpin the structure of an effective results-based organisation as the basis for integrating the people, information and technology, whether in the private, public or voluntary sector. In the South African public sector, the Department of Public Service and Administration (DPSA), the autonomous Public Service Commission (PSC) and Auditor- General (AGSA) all provide norms, standards and guidelines for institutional 285

and individual effectiveness, seeking to promote public governance compliance, competence and commitment to effectiveness which will strengthen constitutional democracy and efficient and effective use of resources; as stipulated in chapters 9 and 10 of the Constitution (RSA 1996a).

The national Department of Public Service and Administration manuals The Machinery of Government (DPSA 2003) and Guide and Toolkit on Organisa- tional Design (DPSA undated a) provide comprehensive managerial norms and guidelines for organisational effectiveness; including the parameters for preparing a Business Case for organisational analysis and restructuring. As was said to the author in dialogic interviews with senior DPSA officials, however, expert advisory capacity is in short supply, and departmental Directors-General sometimes short-circuit these guidelines, despite agreeing to comply (Msimang & Serfontein 2011).

Two additional insights to issues of organisational effectiveness are pertinent:

• “The Turnover Rate of Heads of Department and its Implications for Public Service”, published by the Public Service Commission (RSA 2008n): this analysis of the excessive churn of heads of department and senior managers, pointed to the implications (in terms of leadership productivity and institutional knowledge) for sustained organisational effectiveness. The root causes of poor executive assessment and selection, insecurity connected with political changes; and a probable need to incorporate HoDs into the permanent Public Service, were also addressed; and

• Creating a World-Class City: the Role of People Practices (City of Cape Town 2006): this presentation by David Berretti, Executive Director: Corporate Services of the City of Cape Town, reflected the Seven Habits of a World-class organisation which the management team developed in 2005 as their transformation plan for shared Council and management strategic vision, towards the goal of building a high-performance world-class city (Berretti 2011). Cape Town’s Seven Habits of a World-class organisation were defined as:

• Ongoing strategising, which focusses on a challenging desired future;

• Transformational leadership;

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• A community of business partners, with a shared destiny;

• Core business processes, designed around citizens as customers;

• Continuous improvement and relentless innovation;

• People philosophy and practices, to release the potential of our staff; and

• Powerful branding, which energises all that the City stands for.

While readily conceding that many of the above clichés are difficult to measure precisely, Berretti (2011) affirmed that the intervention had “generated a sense of camaraderie and organisational effectiveness, which was evident in improving the City’s Integrated Development Plan (IDP) and Service Delivery Budget Implementation Plan (SDBIP) results”, during recent years. Building on this base, the Cape Town 2040 campaign (Wright 2012; City of Cape Town 2012) seeks to stimulate citizen engagement in formulating a 30-year City Develop- ment Strategy (CDS), with a long-term collective city-regional vision, developmental goals and interventions.

Within the functional Cape Town City-region, however, organisational capacity and performance management effectiveness standards vary considerably. Metropolitan senior officials Van der Merwe (2011) and Coltman (2011) cited City examples of excellent results-based IDPs and purposeful performance audit; although Butler (2011), Rabbets (2012) and Dugmore (2012) highlighted the endemic lack of competence and performance commitment in many Local and District municipalities within and adjoining the city-region. Both indicated that misalignment of IDP and SDBIP goals and resources was often the cause of fruitless expenditure, political–administrative disjuncture and non- achievement of developmental programme results. These symptoms of lack of institutional and inter-governmental effectiveness were also evident in situational reviews with PGWC financial governance and municipal support officials Hardien and Barnard (2012). Nationally, this problem has been identified by the Department of Co-operative government, which has facilitated the Municipal Systems Amendment Act (RSA 2011g) and promulgated new Regulations for Appointment of Municipal Managers and Section 56 Managers (Parliamentary Monitoring Group 2012), towards generating competence models and remuneration guidelines intended to provide enhanced standards of 287

management selection, competence development and rewards. Time will tell whether these well-constructed competence models and guidelines will be adhered to by Executive Authorities, committed to organisational effectiveness.

Former Director-General of the DPSA Levin (2011b) highlighted several organisational effectiveness inhibitors which need to be resolved in fixing the public service. In his experience, these included state fragmentation, a flawed bureaucracy, a bloated national and provincial public service, a very lean local government; and the need for a clear separation between the political executive and the administrative apparatus (2011:10-12). It must be acknowledged again that co-operative government requirements and intergovernmental relations skills development will take time to gain traction. As collaborative organisational planning, performance budgeting and cross-jurisdictional competences are built within the Delivery Agreement and Strategic Objectives culture, it can be anticipated that institutional stability, results-based motivation and organisational effectiveness will be progressively enhanced.

8.7.4 Rule of Law

As referenced to in chapter 4, the Special Investigations Unit (SIU) is an independent statutory body, accountable to Parliament and the President, for investigating allegations of serious maladministration, negligence and corruption. In 2009, President Zuma in his State of the Nation Address, called on South Africans to “intensify the fight against crime and corruption” (RSA 2009e). A comprehensive report published by the Pubic Service Commission (RSA 2011b) indicated that seriously high levels of public service theft, mismanagement or corruption continue to drain the public purse of funds intended for reconstruction, development and community services.

Hofmeyr (2011), then Head of the SIU, confirmed that he had informed the National Assembly’s justice portfolio committee in March 2011 of significant irregularities in 16 state institutions in the national, provincial and local government spheres. Hofmeyr explained that the investigation by the Public Protector into the Pretoria and Durban police office leases was only one part of a far wider investigation into the procurement division and leases issued by the national Department of Public Works (DPW). The level of corruption was so

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significant at DPW that the SIU had been forced to prioritise only the 20 top cases, which alone totalled alleged corruption of over R2 billion.

A contract issued by this department for the construction of accommodation at an undisclosed border post, valued at R375 million, was also under the micro- scope. Hofmeyr (2011) said that based on her joint investigation with the SIU, the Public Protector had reported that the DPW and the Ministry unlawfully entered into police headquarters leases in Pretoria and Durban. The SIU was looking into a number of other leases in the amount of over R3 billion, including a Pretoria lease for a single residence which the department had leased as residential accommodation at R217 000 a month – without relevant approval. The contractor had been “positively linked to a DPW official” (2011).

Within the South African Broadcasting Corporation (SABC) the SIU uncovered that between 2007 and 2010 about 20 employees had undeclared interests in firms that did business with the public broadcaster to the value of R2.4 billion. This followed an earlier Auditor-General investigation which uncovered conflicts of interest involving 20 SABC employees, to the value of R3.4 million. Accord- ing to Hofmeyr (2011), the SIU was working jointly with the Commercial Crimes Unit of the Hawks which had resulted in eight criminal cases, five of which had been referred to the National Prosecuting Authority for decision. The SIU, together with other independent institutions set up to promote the Constitutional principles of public Accountability, Transparency and Rule of Law, clearly plays a results-based governance role in seeking to fulfil the constitutional and developmental great expectations of South African citizens.

Closely allied with the governance principle of the Rule of Law, internationally and in the Constitution (RSA 1996a), is the matter of the judicial authority of the courts. Chapter 8, section 165 of the national Constitution stipulates that “the courts are independent and subject only to the Constitution and the law, which they must apply impartially and without fear, favour or prejudice”; and section 167 stipulates that “the Constitutional Court may decide on the constitutionality of any parliamentary or provincial Bill; and decide that Parliament or the President has failed to fulfil a Constitutional obligation” (RSA 1996a).

Those provisions were discussed in depth by the author and associates during the Five Freedoms Forum / African National Congress engagement in Lusaka 289

(Louw 1989: 91) and debated vigorously by the Constitutional negotiating parties, in 1993 and 1996. Understandably, therefore, increasing concerns have been raised in recent years by constitutional governance academics, legal professionals and the Council for the Advancement of the South African Constitution (Ndebele 2011), regarding apparent misunderstanding of these clauses (or overt attempts to undermine judicial independence) by leaders of the executive. As February (2012) pointed out, national Parliament has too often been a rubber stamp for executive decisions; and the Report on the review of Constitution Chapter 9 Institutions (Parliament of the RSA 2007) has never been acted upon, to cultivate a deeper understanding of parliamentary accountability for effective oversight of the executive.

Recently reported in the public media was a comment by President Zuma, during the installation of the new Chief Justice, that the courts must not seek to challenge the decisions of Parliament or the Cabinet: “Give us space to govern; the executive should decide on government policy and how it is implemented – not the courts” (Zuma 2011). If this were indeed a valid interpretation of the Presidency’s understanding of the Constitutional separation of powers for democratic governance, it would justify significant results-based concern.

8.7.5 Technical Competence and Expertise

Earlier assessments and analysis of public sector managerial competence and technical expertise (largely in chapters 3 and 4), in relation to Public Service Commission and Auditor-General report findings, probably reflect the fundamental obstacle to rapid realisation of South Africa’s results-based developmental democratic state. This obstacle is the lack of competent, experienced and ethical officials committed to service excellence through Batho Pele practices. The relevant interview insights cited earlier by Local Government Research Centre director Keagan (2011), PGWC Treasury Head Stegmann (2011) and DPSA Deputy Director-General Clarke (2011), highlight the need for a more purposive, consistent application of skills development and performance improvement strategies, in all three government spheres, ”moving from training to performance” (Robinson & Robinson 1998: 9).

Minister for the Public Service and Administration, Richard Baloyi (2010a), stated this need succinctly in the Service Delivery Review “learning journal for 290

the Public Service”. The Minister acknowledged that “it is time to account for the past”, and that “it is clear that our people expect more from us” (2010a: 3). He stated that ”training and development of capable managers and (technical) officials will continue to be very crucial to this administration”; and announced the launch of a new “Public Service Charter, which will define a public servant of note, including: attributes of a public servant; rules of public governance engagement; and ethical principles of a public cadre” (2010a: 6).

Further evidence of national executive awareness of the urgent need to enhance public sector competence and workplace performance for results- based governance appears in the Presidency draft National Development Plan 2030 (RSA 2011e), published for comment after extensive and innovative public consultation processes. Nine strategic themes for future Prosperity and Equity were proposed to address thirteen key national socio-economic challenges identified in the National Planning Commission’s Diagnostic Review (RSA 2011d). These results-based action themes, relevant to charting a new national developmental governance direction, are predicated on the goal of enhancing public governance competence and performance improvement commitment in all three spheres, including the four key result areas of:

• Build a capable state;

• Quality education;

• Expand infrastructure; and

• Use resources properly.

Neither of these Presidential and Ministerial statements, however, nor any communication from any other executive authorities, has identified that curtail- ing cadre deployment of party loyalists is an imperative step towards developing public sector competence and commitment, essential for sustainable achievement of these National Planning Commission goals (Taylor 2012; Essop 2012). In the author’s performance management consulting assessments across all three spheres, the cancer of cadre deployment is frequently evident as a hurdle to high performance and motivation of public service staff to develop their competence and career scope. Until the selection, training, deployment and performance management of officials in all three spheres complies with the 291

principles of section 195(1) of the Constitution (RSA 1996a), public sector competence and expertise will not meet the results-based developmental governance great expectations of 1994.

At the same time as the publishing of the National Development Plan 2030 (RSA 2011e), the Development Bank of Southern Africa released its Develop- ment Report 2011: Prospects for South Africa’s Future (DBSA 2011), stating that an ongoing lack of effective political governance would continue to undermine efforts to increase the efficacy of the state. This incisive DBSA report called for an overhaul of how the nation’s political parties are run; and how they choose their leaders. This would involve defining the expertise, experience and competence requirements – innate abilities, skills and knowledge – for leadership development and deployment processes of political parties to improve deployee assessment, so creating sustainable career paths within the party and government; and revising training and development programmes. In a nutshell, what is needed is systemic and systematic development of political expertise and applied competence, for results-based public governance.

These diagnostic findings and recommendations of the National Planning Commission and the Development Bank of Southern Africa are corroborated by the Public Service Commission’s “Seventh Consolidated Monitoring & Evaluation Report for the 2009/2010 Evaluation Cycle” (RSA 2011c), which was presented to the National Assembly Portfolio Committee on Public Service and Administration. The Public Service Commission’s M&E system was designed around the nine governance values in Section 195 of the national Constitution (RSA 1996a), with one or two performance indicators per principle; each of which included a number of normative standards. Linked to these standards was a percentage score, which enabled the PSC to award scores per principle and an aggregate score for each department assessed. In this results-based PSC evaluation of provincial and national public service departments, the highest scores awarded were for the Constitutional principles of:

• Accountability: (71%: Good performance); and

• Transparency: (63%: Good performance).

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Most departments were scored lowest in terms of the principles of:

• Human Resource Management: (47%: Adequate performance); and

• Representativeness: (39%: Poor performance).

In analysing the Human Resource Management and career development practices of 30 national and provincial departments, the Public Service Commission found that while 95% of departments had sound HRM and recruitment policies in place; these policies had not been translated into better performance, with regard to recruitment times, management reporting and skills development for required job competence profiles. In fact, there was a negative relationship between the existence of a Skills Development Plan (with a score of 59%) and the effective implementation thereof (a score of only 28%).

This PSC Governance Evaluation Report (RSA 2011c) concluded that while compliance levels appeared to be improving, the quality of compliance remained the key issue. In discussing these findings Public Service Commis- sion DDG for Governance Monitoring & Evaluation, Indran Naidoo (2011) commented that ”the challenge facing the Public Service is not a lack of policies and frameworks, but the institutionalisation of systems and a performance culture; as well as the capacity and will of staff members to implement the required policies and systems”. Naidoo contended that the Public Finance Management Act (RSA 1999b) and Medium-Term Strategic Framework (RSA 2009d) were in themselves policy thrusts, which should promote results-based developmental public governance.

The PSC reports on Head of Department performance agreements and evaluations (cited in chapter 4) point to the root cause of the problem. In Naidoo’s professional opinion, there has generally been good results-based progress in the national and provincial spheres; but at the critical service delivery level of local government, it remains uneven. “Overall, the weak cog remains Leadership – at all levels, where (despite ongoing evaluation reports) little is done to concretise these findings and recommendations into effective action. More importantly, the Accountability loop remains open, as there remains ambivalent action on poor performance, which erodes public confidence in results-based governance” (Naidoo I 2011).

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A significant observation is made in the PSC Governance Evaluation Report that “only the Western Cape assesses the impact of skills development on service delivery; which points to a results-based gap in much of the country’s human development and performance improvement practices”. This Western Cape concern for achieving governance results through competent people is evident in the Status Report: Management of the DotP Executive Projects Dashboard (PGWC 2011e); and was also reflected by PGWC Provincial Training Institute Director Hannelie van Niekerk (2011), regarding the need to evaluate the effective transfer of provincial officials’ learning at the Institute to verify enhanced performance in their departmental workplaces.

8.8 CONCLUSION: S-A-F-R-I-C-A PERFORMANCE MODEL REVISITED

Has the original S-A-F-R-I-C-A public performance model, which was designed in chapter 2 based on the author’s study of trans-national scholarly research into and practitioner observations regarding results-based governance practices, proved to be a relevant framework, fit for purpose in the objective analysis and formative evaluation of South African results-based developmental public governance? Is this model valid and reliable, in both the national and city-regional governance contexts?

While it is recognised that the research is not conclusive, but is part of a continuing search for effective developmental governance answers, the evaluation findings cited earlier in this chapter provide an indicative assessment which confirms that the model has been a valid and pragmatically relevant instrument for use in all three spheres of South African government; and in the geo-political complexity of the Cape Town City-region. The performance model components were identified in chapter 2 as:

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• Accessible data & evidence for planning, monitoring & evaluation.

In assessing the validity of the seven components of this original public performance model, the author has frequently interrogated the model precepts and design with fellow professionals and the 44 public governance stakeholders interviewed in the dialogic action research processes of this thesis. Consolidating these well-informed practitioner perceptions and political leadership insights, the consensus response has been that the S-A-F-R-I-C-A model is indeed fit for purpose as a pragmatic, reliable framework for reviewing, analysing and formatively evaluating public governance practices. The following stakeholder feedback and professional experiential observations reflect ‘sufficient consensus’ amongst 44 politicians and officials from all three spheres.

8.8.1 Strategic Vision & Mission which sets direction and inspires action

With very few exceptions, use of this model in reviewing government documents from all three spheres (departmental and programme plans, audit committee in-year monitoring and annual reports to legislatures) has immediately elicited evidence of efforts to define direction. Sometimes complicated by Treasury jargon (strategic goal, strategic objective, measureable objective) or by managerial avoidance of too specific a vision or action plan – which may not be achievable or measurable – a significant proportion of political leaders and senior officials conceded that sharpened strategies (with clearer accountability, referenced below) would empower and motivate governance stakeholders to define and achieve shared visions, missions and mandates.

8.8.2 Accountability and Consequences for results

This foundation element was agreed by all officials and civil society leaders interviewed, as arguably the most significant component of the S-A-F-R-I-C-A results-based governance model. Broad consensus indicated that this was so because this building block highlights core internal and external principles and practices which are too often ignored, according to PSC and AGSA reports cited in earlier chapters of this thesis.

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8.8.3 Financial alignment of resources with mission, risks and outcomes

As several influential interviewees from all three spheres confirmed to the author; including Minister of Finance Gordhan (2011), PGWC Treasury Head Stegmann (2011), AGSA Provincial Executive Diedericks (2010), Drakenstein Municipal Mayco Member Combrink (2011) and SALGA Western Cape chairman Qually (2012); the need for priority budgeting or performance budgeting is an essential step, in converting an ambitious vision into a realistic financial governance plan, for community consultation and risk-based management mobilisation of resources.

8.8.4 Recognition and reinforcement of effective governance results

As was referenced in chapter 2, Binder (2007) highlighted the immediate and lasting value of “catching your people doing things right”. Positive behavioural reinforcement has, of course, long been acknowledged as an effective approach for recognising and promoting replication of excellent results-based management (Exemplary Performance 2009). This approach, according to the majority of public officials interviewed, has not been typical in the South African public sector; although their confirmation of its value was frequently noted. National awards, civic honours and staff excellence campaigns (such as the SARS Amakhwezi teamwork recognition cited in chapter 4) indicated a growing awareness that good governance practices should indeed be reinforced and institutionalised.

8.8.5 Investment in people, to develop technical & managerial capacity

Unanimously, interviewees across the governance spectrum confirmed the relevance of “the need for purposeful skills development and employment equity, in the South African public sector”. Lack of equal education opportunity was cited as possibly the worst legacy of apartheid; and many senior officials and political leaders cited the persistent lack of technical and managerial capacity in their departments, as the prime reason for non-achievement of service delivery goals. As mentioned in chapter 4, the practice of governing party loyalist cadre deployment remains a significant obstacle to cost-effective investment in people with proven career potential.

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8.8.6 Community engagement for democratic empowerment

Diversity of opinions regarding the relevance and value of this component was evident, in Cape Town City-regional interviews. While politicians agreed that community engagement is an essential activity during election campaigns, few of their diaries indicated that ongoing community consultation events were held or planned. This apparent disregard for democratic empowerment has been part of the difficulty in building effective Ward Committees (University of the Western Cape 2009), as was noted in chapter 3. Engagement actions by officials also varied, relative to their levels and perceived roles. Stakeholder summits, roadshows and community satisfaction surveys were mentioned as methods of engagement, but citizen empowerment and joint decision-making in a connected community (Svara & Denhardt 2010) were rare occurrences, according to informed sources in the South African Non-governmental Organisation (Hofmeyr 2010), Western Cape Community Chest (Jones 2012) and Greater Cape Town Civic Alliance (Jackson 2010; Swimmer 2012).

8.8.7 Accessible data & evidence for planning, monitoring & evaluation

Data-driven planning, monitoring and evaluation was widely recognised by respondents as an important building block for public performance measurement and reporting. Although the complexity of the GWM&E system and the 80 national Development Indicators was noted as ‘daunting’ by several politicians and officials, the hope was expressed that StatsSA Census 2011 data will enhance the Integrated Development Planning reliability and rigour across the Cape Town City-region (Fast 2012). Similarly, provincial political leaders and officials spoke highly of the diagnostic interactions with the National Planning Commission, in the drafting of National Development Plan 2030 (RSA 2011e).

In analysing and assessing the findings and opinions of stakeholder interviews regarding the relevance and pragmatic value of the seven components of the original public performance model, an eighth building block clearly emerged, which would augment the model design to S-A-F-R-I-C-A-N. On reflection, the developmental practices of Networking and Collaboration, for knowledge sharing, effective co-operative government, ubuntu and community (especially in the multi-cultural Cape Town City-region), are central to South African

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results-based public governance; hence the addition of the following component to the original performance model.

8.8.8 Networking for Collaboration and Shared knowledge

The strategic value of collaborative planning and collective action was an element of the pre-1994 democratic movement, referenced in earlier chapters. “Together we can do more” has been a popular political slogan in the new South Africa; and several respondents pointed out how valuable it has been to share knowledge, experience, ideas and plans in forums such as MinMEC, FOSAD, Provincial Co-ordination Forums and District Intergovernmental Forums. Respondents from civil society (Jones 2012; Ehrenreich 2012; Swimmer 2012) as well as governmental agencies (Levin 2011b; Wright 2012; Dugmore 2012) indicated that they continued to gain governance insights, learning and innovative thinking in collaborative peer networks across sector groupings, party-political lines or administrative boundaries. The public performance model initially developed in chapter 2 is therefore enhanced by this eighth building block, depicted in figure 8.6 below.

Public Performance Model for Results-Based Developmental Governance

Accessible Community Networking & Engagement Evidence & Data Collaboration

Building Recognition & Blocks Financial Reinforcement Investment in Alignment of Results People

Foundation Strategic Vision & Mission Accountability & Consequences

Figure 8.6: The S-A-F-R-I-C-A-N Public Performance Model

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These stakeholder responses, supportive of the South African national motto of “A people united in diversity” and of the new PGWC branding slogan of “Better Together”, were made with a view to enhancing mutual understanding, technical knowledge sharing, cross-cultural perceptions and management skills in statutory compliance or resource constraint challenges, which typically influence cost-effective governance planning, service delivery innovation and sustainable development. Wheatley and Kellner-Rogers (1998) promoted the need to harness the instinct of community in organisation development, building sustainable working relationships; especially in affirming diverse experiences and cultures. This instinct of community is valid in building an inclusive, results- based governance context in South Africa; and certainly in developing the governance functionality of the heterogeneous Cape Town City-region.

All these indicators of effective results-based developmental public governance complement and resonate with Abrahams (2008) in his innovative assessment of accountability, autonomy and authenticity in “the development waltz, conducted to a kwaito beat in Southern Africa” (2008:1). Consultation with a purposive range of developmental governance practitioners with collective hands-on experience in all three South African spheres has confirmed the generic applicability of the original public performance model, not only in the Cape Town City-region, but also to effective results-based public governance throughout South and Southern Africa. This positive assessment was expressed by, amongst others, Beretti (2011), Butler (2011), Fast (2012), Greyling (2010), Groenewald (2011), Hofmeyr (2010), Msimang (2011), Naidoo P (2011),Ndebele (2011), Strachan (2011), Sutcliffe (2011), Qonde (2011), Taylor (2012), Van der Merwe (2011), Van Niekerk (2011) and Walker (2011).

The original S-A-F-R-I-C-A-N public performance model is therefore invigorated by the inclusion of this value-adding element of developmental governance: Networking for Collaboration, to optimise knowledge and information sharing, mutual understanding, intergovernmental alignment and partnerships in pursuing results-based governance. Originally derived from the review and assessment of trans-national exemplary governance practices cited in chapter 2, this enhanced public performance model framework is the product of mixed methods action research, applicable to the promotion of

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results-based public governance in the multi-cultural South African city-regional context; and in similar developmental urban societies in the Global South.

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