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

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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. by WILLIAM JAMES SEWELL THESIS In completion of the requirements for the degree DOCTOR LITTERANUM et PHILOSOPHIAE in 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 i 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. ii 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 develop- mental 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 iii 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. iv 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 v 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 vi 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 vii 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
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