Performance monitoring and evaluation of metropolitan municipalities in Gauteng, South Africa By Kgosi Lucas Maepa A Thesis submitted in partial fulfilment for the requirements of the degree: Philosophiae Doctor (PhD) in Public Affairs University of Pretoria Faculty of Economic and Management Science School of Public Management and Administration Supervisor: Professor. Dr. Chris Thornhill November 2014 THESIS OUTLINE I. ACKNOWLEDGEMENTS ii II. DECLARATION iii III. ABSTRACT iv IV. TABLE OF CONTENTS vii-xiv V. TABLES xv-xvii VI. FIGURES xviii VII. GRAPHS xiv-xxi VIII. LIST OF ACRONYMS AND ABBREVIATIONS xxii-xxiv IX. ANNEXURES xxiv i I. ACKNOWLEDGEMENTS Glory be to God through our Lord and saviour Jesus Christ, To my loving wife, friend and partner Winnie including my three special children Dimpho; Mashubathele “Shubi” and Rolihlahla “Roli” Maepa. To my parents, Isaac and Sheila Maepa; my sisters Shonisani, Mpho, Aluta and younger brother Moscow; thank you for the love and support. I completed this PhD to motivate all of you, to become better than me. To my friends and brothers Mr. Muzi Mavuso; Dr. Louis Siebrits; Mr. Sam Mhlaba and Mr. Brendon Vandayor – thank you for being there for me when I needed you the most. A special thank you also goes to Cadre Danny Msiza, a successful entrepreneur, my business mentor and leader. To my promoter and supervisor, Prof. [Emeritus] Chris Thornhill, thank you for the guidance and support, you are one of the best Public Administration and Management academics/scholars in the entire world. To my other two academic coaches Prof. Johannes Britz [Provost and Vice Chancellor at University of Wisconsin Milwakee - USA] and Prof. Deon Rossouw [CEO: EthicsSA] thank you for the support. To Prof. Jerry Kuye, thank you for the opportunity you gave me to study towards a PhD. To my life coach Prof. Ezekiel Moraka [Deputy Vice Chancellor at Tshwane University of Technology - TUT], thank you for always being there for me. To my political home and the oldest liberation movement in Africa, the African National Congress [ANC] and in particular my political leader, mentor and senior, Cadre David Makhura [Premier of Gauteng Province] – thank you. Working under your guidance and leadership has had impeccable impact on my character, commitment, determination and fortitude – you have significantly shaped my political world view tremendously. To all my family members, friends and comrades in and outside the ANC, thank you for the support and encouragement – I treasure you. To all the people of South Africa [especially the participants in urban informal settlements and their public representatives], including other people who assisted me to put together this piece of work – which will contribute to our growing and maturing democracy - I am deeply humbled, grateful and for that, I thank you. Kgosi Maepa [Pretoria, South Africa 2014] ii II. DECLARATION I hereby declare that all the work done in this research study [Performance monitoring and evaluation of metropolitan municipalities in Gauteng, South Africa] is my own original work that was done independently without assistance. All the sources used were referenced using the Harvard method of referencing. __________________________ _______________ Signature [Kgosi Lucas Maepa] Date UP Student number: 97182542 iii III. ABSTRACT The research study has been undertaken to assist metropolitan municipalities in Gauteng, South Africa with a conceptual framework and guide in terms of how they should conduct performance monitoring and evaluation [PME], Impact Evaluation (IE) – of the United Nations [UN] Millennium Development Goals [MDGs] with regards to the provision of minimum basic service in Urban Informal Settlements [UIS] in the three identified metropolitan municipalities of Ekurhuleni, Johannesburg and Tshwane. In pursuit of meeting the objectives of this study, both qualitative and quantitative studies were conducted. Important salient thematic analysis regarding performance monitoring and evaluation were located in existing legislation, public administration texts and in other management theories associated with the discipline and domain of Public Administration. The study has seven objectives: a) to locate the concept of performance monitoring and evaluation [PME] in the Discipline of Public Administration; b) to discuss and extrapolate the essence of PME, analyse the policy framework that guides PME systems in the South African context and in particular the local sphere of government; c) to discuss the international PME systems in the public sector and consider lessons that are relevant for the South African environment; d) to analyse and discuss the local sphere of government before and after democratic rule in South Africa with special reference to the evolution of local government legislation; e) to discuss and extrapolate current issues in the South African local government sphere with special focus on community participation, municipal demarcation concerns, protest action in municipalities; f) to conduct an empirical study, investigate and compare using two sets of survey questionnaires - by assessing the Impact Evaluation [IE] on the delivery of basic iv minimum services [i.e. electricity, water, sanitation and waste collection/removal] in the three identified municipalities against set targets determined by Statistics South Africa Census 2001&2011; Housing Development Agency [HDA] of the Department of Human Settlement [DHS] and Millennium Development Goals [MDGs] – in the South African context; and g) to discuss practical considerations in institutionalising PME processes in local government and propose recommendations with guidelines for an effective and efficient PME system in the local government sphere in Gauteng, South Africa. In achieving these objectives, the ultimate aim of the Thesis is to make recommendations for an effective and efficient PME system in the local government sphere in Gauteng, South Africa – which will ensure that the performance monitoring and evaluation introduced by the South African government, through the “Government-wide Monitoring and Evaluation system” [GWM&E] under the Department of Performance Monitoring and Evaluation [DPME] in municipalities and in particular metropolitan municipalities in Gauteng Province - affects delivery of minimum basic services in informal settlements. Sample surveys were preferred in the method. The purpose of a sample survey is to collect standardised information from a carefully selected sample of respondents. This type of survey is carried out by means of a structured instrument such as a questionnaire or observation guide – for purposes of the current study, a structured questionnaire was used. Sample surveys are appropriate when the research design requires comparable information about a relatively large number of subjects – which is the situation in UIS. A total of 395 surveys were conducted, analysed and processed from the three metropolitan municipalities. The sample consists of three city managers and 392 randomly selected participants in UIS in the three selected metropolitan municipalities of Ekurhuleni; Johannesburg and Tshwane. A cluster sampling technique has been selected for the purpose of this study. The sample population in UIS was divided into groups or clusters, and random samples of these clusters were selected. All observations and determinations in the selected clusters were then included v in the sample frame. UIS that are 20 years and older and not yet formalised were specifically selected and a random sample of the required sample selected per metropolitan municipality. Since the researcher cannot get a complete list of the members of a population to study but can get a complete list of groups or 'clusters' of the population – cluster sampling was selected. In the case of UIS, information on the population is not readily available as a result of in-and- out migration. The random sample produced a list of subjects so widely scattered that surveying them would prove to be far too expensive – that is the reason why cluster sampling was used in the empirical study. In this study, a two-stage cluster sampling technique was used, which means that a simple case of multistage sampling was obtained by selecting cluster samples in the first stage and then selecting a sample of elements from every sampled cluster in the second stage. Questionnaires were then administered; results processed; analysed and recommendations made. In sum, practical considerations in institutionalising PME processes in local government and recommendations for an effective and efficient PME system in the local government sphere in Gauteng, South Africa have been outlined. The recommendations were proposed in a context of an urban informal settlement [UIS] environment - to check how the South African government policy “Government-wide Monitoring and Evaluation system” [GWM&E] at a municipality - affects efficient and effective delivery of minimum basic services in urban informal settlements. vi IV. TABLE OF CONTENTS PAGE CHAPTER 1: INTRODUCTION 1.1. The local sphere of government in the South African context 1 1.2. Definitions and operationalisation of key concepts 4 1.3. Motivation for the research 11 1.4. Problem statement 13 1.5. Research objectives 15 1.6. Research question 17 1.7. Sequence 17 1.8. Research methodology 18 1.9. Administrative processes and approval 24 CHAPTER 2: PUBLIC ADMINISTRATION PERSPECTIVE OF THE STUDY 2.1. Introduction 25 2.2. Location of the study of performance monitoring