Municipal Support and Intervention Framework

Presentation to the SMS conference MUNICIPAL SUPPORT & INTERVENTION FRAMEWORK

Ad hoc Structured & Roll Out Plan Categorisation Define support focused of municipalities approach support Support & A. Consultation Intervention •Staff •MEC •SALGA •Municipalities •Cabinet Committee •Portfolio Committee

Setting up of Data base of B. Data base Support Support Deployment Types of (Partners & and Support Providers) Providers Providers & Strategy Support & Forum Partners Intervention C. Launching Municipal Support & Intervention Framework

D. Launching Support Providers’ District level Launching Forum Department Municipal Municipal - Data base -MS Unit Support Support Plan - Forum E. Mun Support Plan -MRE Unit Units -Framework Authority Functions F. Establish Units - Support Units -MRE Unit Principles of Support & Intervention • Mainstreaming & promotion of integration G. Piloting • Short & long term to optimise effectiveness Piloting Framework • Seek out the most vulnerable (capacity levels) in selected • Addresses the needy (respond to the needs identified) categories • Build resilience Presentation overview

This report comprises four main sections:

1. The first presents a context of municipalities in the and presents types of municipal support and intervention. 2. The second presents a framework for strengthening municipal support and intervention functions. 3. The third applies the framework to DLGTA at a broad level. 4. The fourth outlines a road map for institutionalising the function. Types of municipalities in the Eastern Cape

Categorising municipalities: – Based on monitoring, municipalities can be categorised into those that require different types of support. – In the interim, a desktop categorising method can be used: • A: Metros (1) • B1: Secondary cities (1) • B2: Local municipalities with a large town as core (3). • B3: Local municipalities with small towns, with relatively small population and significant proportion of urban population but with no large town as core (18). • B4: Local municipalities which are mainly rural with communal tenure and with, at most, one or two small towns in their area (16). • C1: District municipalities which are not water services authorities (1). • C2: District municipalities which are water services authorities (5). Categorisation of municipalities

A Nelson Mandela Metropolitan Municipality B4 Umzimkhulu Local Municipality B4 Umzimvubu Local Municipality B1 Buffalo City Local Municipality B4 Mbhashe Local Municipality B4 Mnquma Local Municipality B2 Makana Local Municipality B4 Ngqushwa Local Municipality B2 Lukhanji Local Municipality B4 Intsika Yethu Local Municipality B2 King Sabata Dalindyebo Local Municipality B4 Emalahleni Local Municipality B4 Engcobo Local Municipality B3 Camdeboo Local Municipality B4 Elundini Local Municipality B3 Blue Crane Route Local Municipality B4 B3 Ikwezi Local Municipality B4 Mbizana Local Municipality B3 Ndlambe Local Municipality B4 Ntabankulu Local Municipality B3 Sunday's River Valley Local Municipality B4 Qaukeni Local Municipality B3 Baviaans Local Municipality B4 Port St Johns Local Municipality B3 B4 Nyandeni Local Municipality B3 Kou-Kamma Local Municipality B4 Mhlontlo Local Municipality B3 Great Kei Local Municipality B3 Amahlati Local Municipality C1 Cacadu District Municipality B3 Nkonkobe Local Municipality B3 C2 Amatole District Municipality B3 Inxuba Yethemba Local Municipality C2 Chris Hani District Municipality B3 Tsolwana Local Municipality C2 Ukhahlamba District Municipality B3 Inkwanca Local Municipality C2 O.R.Tambo District Municipality B3 Sakhisizwe Local Municipality C2 Alfred Nzo District Municipality B3 Maletswai Local Municipality B3 Gariep Local Municipality Types ctd

18 16 14 12 10 8 6 4 2 0 A B1B2B3B4C1C2

8 7 6 5 4 B1 B2 3 B3 2 B4 1 0 Cacadu (C1) Amathole Chris Hani Ukhahlamba O.R.Tambo Alfred Nzo (C2) (C2) (C2) (C2) (C2) Type of municipal support

Support Intervention

Light General Intense

A B1 B2 C1 B3 C2 B4

Sustainability Consolidation Establishment

Crisis

Cr i s is Light support

• Light support: – This refers to support offered to municipalities in improving performance and implementing new policies and legislation. This type of support is relevant to municipalities that are generally functioning well (sustainability phase) and can implement new policies and legislation through appointing the required skills with the support of grants and some technical assistance from provincial and national government. Generally, such municipalities can appoint and manage consultants to undertake tasks in which they do not have the required capacity. Medium support

• Medium support: – This is applicable to municipalities that are gradually establishing themselves and are steadily improving their performance, but nonetheless require support to reach and complete the consolidation phase. This is typically related to a specific problem. Here there are two sub-sets: • Short term organisational building focussing on specific problems that occur within the institution and can be resolved through short term technical support. • Medium term gap filling involving support to institutions in delivering services. It is relevant both to institutions that are established and functioning and those that are still being established, but can’t upscale their delivery without additional support through the placement of technical assistance teams (programme management units), often with skills from the private sector. Intense support

• Intense support: – This is a component of hands on support and is focussed on those municipalities which are still effectively in the establishment phase – and grappling with quite severe problems. Municipalities may also be in sustainability or consolidation phases but are facing severe problems.

There are two sub-types: – Long term organisational building which is likely to include political, strategic and operational components. This acknowledges that there are no structural or environmental constraints to this capacity being built over the medium to longer term. – Long term gap filling is relevant to those institutions which are not able to ever attract the required skills (in the medium to long term) due to broader structural and environmental (geographical location and population densities) constraints. This limits them from recruiting skills on a full-time basis. It is acknowledged that it is better in these environments to appoint a qualified engineer, for example, for one day a week rather than an unqualified person to try and fulfil this function. This requires capacity from another institution to be deployed on an ongoing basis to fill the gaps that exist. An example of this is a shared service centre. Municipal Intervention

• Intervention as a legal instrument is the unilateral interference by one sphere into the affairs of another sphere in order to remedy an unacceptable situation. • Last resort, only after all other options for resolving the issue have been exhausted. • Legal base for intervention into local government by provinces is S139 of the Constitution and sections of the MFMA Principles of Integration • Mainstreaming & Promotion of Integration • Long term approach to optimise effectiveness • Seek out the most vulnerable & build resilience Types of intervention

• Four types of intervention: – Regular interventions in response to a crisis that is not strictly financial in nature (failure to fulfill an executive obligation). Managed by MEC for LG; – Intervention in response to a municipality having serious financial problems (financial recovery plan). Managed by MEC for LG; – Intervention in response to a municipality failing to adopt a budget or revenue-raising measures. Managed by MEC for LG; – Intervention in response to a municipality experiencing a crisis in financial affairs. Managed by MEC Finance. • Distinction between substantive and procedural aspects re the above. Pre-requisites to support and intervene

• Concept of authority and providers: – Norms and standards – Framework and targets – Support & intervention – Co-ordination and mobilisation – Monitoring & evaluation • These are regarded as AUTHORITY FUNCTIONS and are performed by government. • PROVIDER FUNCTIONS are performed by service providers • On the following slide support methodology is given: Targets 1 10

Concept 2 Performance Assessment

Diagnose 3

a b c d

Light Medium Intense Intervention

4 Co-ordination & mobilisation

7 Professional Donors & Sector associations Parastatals Private SALGA international departs & retired (DBSA) sector volunteers professionals

8 Deployment strategy 5

Detailed planning & implementation

6 sharing Knowledge Norms & standards Monitoring & evaluation Monitoring

2 & guidelines Tools 9 Municipal Performance Components

• Targets: – Two main informants to targets: • National targets from national policies and programmes. • Provincial targets. • Performance assessment: – Assessment, based on KPIs (that will include the targets listed above), will define where the municipality is located in terms of establishment, consolidation and sustainability. – Dplg currently busy with work on M&E, core set of indicators have been defined which can form the basis of departmental indicators for monitoring. • DM & LM support programmes: – Having conducted the assessment, it is then possible to define broad municipal support programmes for district and local municipalities. • Diagnose: – Relevant mostly to municipalities in the establishment and consolidation phases. – Deeper assessment of performance and the reasons behind such performance. – Encompasses a number of steps. Components ctd

• Co-ordination and mobilisation: – Once municipalities have been identified for different types of support, support role- players can be mobilised and co-ordinated. • Deployment strategy: – Required in order to create consistency amongst the various role-players who have been mobilised to provide support. – Needs to include some orientation and training. • Detailed planning and implementation: – Once on site, detailed planning and implementation is undertaken. • Monitoring and evaluation: – Ongoing monitoring on achievement of outputs. – Evaluation of effectiveness of support provided. • Norms and standards: – Norms and standards for the way in which support and intervention is implemented bring uniformity when there are different providers. • Tools and guidelines: – Tools and guidelines have/need to developed/rationalised to assist with implementation of support and intervention. • Knowledge sharing: – Sharing of experiences and knowledge across the system is required. Prioritising Municipal Support

Support Intervention Light General Intense

A B1 B2 C1 B3 C2 B4

Sustainability Consolidation Establishment

Cr i s i s

Cr i s i s

Municipality back Municipal Support Programmes

Provincial National DM Historical Current

Municipality MSP ( phase 2) MMP ECMSS DHLGTA Project Consolidate Provincial Treasury Premier the of Office UNDP Corpl an NBI ECSECC SALGA RULIV PIMSS Masibambane ISRDP URP Project Consolidate Billing PC Siyenza Manje MFMTAP ENERGYS IMFO CMTP Amathole MSU Nelson Mandela Metropolitan Municipality yy y y yyy y Cacadu District Municipality yy yy Makana Local Municipality yy y Camdeboo Local Municipality yy y y Blue Crane Route Local Municipality yy y y y Ikwezi Local Municipality yy y y yy Ndlambe Local Municipality yy y y y Sunday's River Valley Local Municipality yy y y y Baviaans Local Municipality yy y y y Kouga Local Municipality yy y y y Kou-Kamma Local Municipality yyyy yy y Amathole District Municipality yyyy Buffalo City Local Municipality yy y y yyy Great Kei Local Municipality yy y y Amahlathi Local Municipality yy y yy Nkonkobe Local Municipality yy y y Nxuba Local Municipality yy y yy Mbhashe Local Municipality yyyyy y y y y Mnquma Local Municipality yyyyy y y yy y Ngqushwa Local Municipality yy y y Chris Hani District Municipality yy yyyy Lukhanji Local Municipality yy yy y y y Inxuba Yethemba Local Municipality yy y y Tsolwana Local Municipality yy y y Inkwanca Local Municipality yy y Sakhisizwe Local Municipality yy yy y y Intsika Yethu Local Municipality yy yy y Emalahleni Local Municipality yy yy y Engcobo Local Municipality yyyyy y Ukhahlamba District Municipality yy yyyy Maletswai Local Municipality yy y y Gariep Local Municipality yy y Elundini Local Municipality yyyyy y y Senqu Local Municipality yy y y O.R.Tambo District Municipality yyyy yyy yy King Sabata Dalindyebo Local Municipality yy yy y y y y Mbizana Local Municipality yyyyy y y Ntabankulu Local Municipality yyyyy y Qaukeni Local Municipality yyyyy y y Port St Johns Local Municipality yyyyy y y Nyandeni Local Municipality yyyyy y Mhlontlo Local Municipality yyyyy y Alfred Nzo District Municipality yyyy yyy Matatiele yy y y Umzimvubu Local Municipality yy yy y y Municipal Support Programmes per KPA

National Provincial DM

KPA OTP DHLGTA Thina Sinakho Thina Provincial Treasury Provincial Project Consolidate Project PIMSS ISRDP URP MFMTAP Masibambane Manje Siyenza ENERGYS IMFO CMTP UNDP Corplan PSAM ECSECC SALGA NBI Hare Fort RULIV MSU ADM Service delivery y y y y y y y y y y y y Local economic development y y y y y y y y y Financial viability y y y yyyy y y Institutional transformation y y y y y y y y y y y Good governance y y y y y y y y y Working with districts

• Two types of districts in terms of support: • Type 1 refers to those districts that already have an institutional response to supporting local municipalities (Amathole and Cacadu). These districts can be used as the “implementing agents” for DLGTA in support to local municipalities. • Type 2 refers to those districts that do not yet have an institutional response to supporting local municipalities (OR Tambo, Alfred Nzo, Chris Hani and Ukhahlamba). Here, DLGTA will need to support these districts to develop support programmes to local municipalities. This may well require intense hands-on support in certain cases. • Establishment or strengthening of District IGR Forums & capacity building Logic Model Pyramid

The developmental results of achieving specific outcomes IMPACTS Manage towards What we aim to change? achieving these results The medium-term results for specific beneficiaries that are the consequence of achieving specific outputs OUTCOMES What we wish to achieve?

The final products, or goods and services produced for delivery OUTPUTS What we produce or deliver?

The processes or actions that use a Plan, budget, range of inputs to produce the desired implement and outputs and ultimately outcomes ACTIVITIES monitor What we do?

The resources that contribute to the production and delivery of outputs INPUTS What we use to do the work? APPLYING LOGIC MODEL TO DLGTA

Government Wide MRE Logic Model for Local Government (July, 2007)

Impact BETTER LIFE FOR ALL (a)

Ultimate Outcomes Transformed and Developed Local Economies that Public Participation and Communities receive Basic Financially viable and well Realise Benefits Organisationally Developed meet the needs of the compliance to Good Governance Services (c) managed municipalities (e) Municipalities (b) communities (d) practices (f)

District and Local Municipalities & other institutions comply District municipalities design, implement, manage, monitor Local municipalities design, implement, manage, monitor, with policy, guidelines, regulations,strategies, plans, & report against IDPs (h) report on district IDPs (i) Intermediate Outcomes frameworks and standard operating procedures (g)

DLGTA & partners establish an appropriate mix of policy, District and local municipalities and institutions are aware of District and local municipalities and institutions are enabled Direct Outcomes research, regulations, support and resources that are available policy, research, regulations, support and (supported, resourced & capacitated) to design, implement, available to district and local municipalities and institutions resources (l) manage & report against plans (m) (i.e. a well designed DMLM Support Programme) (k)

Policy & Research (n) Regulations (o) Resources (r) Strategic Plans Policy, guidelines, strategies, plans, Support (p) Legislation, norms and standards Conditional Grants, grants, fiscal frameworks, standard operating Training sessions, workshops, toolkits, Annual Performance Plans transfers, donor support MRE systems procedures hands on support, knowledge sharing Operational Plans Performance Management Systems Activities and Outputs Profiles, reviews, progress reports Human Resources Ongoing monitoring & Partnerships, consultations, reporting committees

Corporate Governance and Administration

South African Local Government Association, South African Management Development Institute, Provincial Treasury, Sector Departments, Department Co-delivery partners of Provincial and Local Government, Municipalities, Donors, NGOs, Provincial State Owned Enterpreses, Development Bank of Southern Africa. Logic Model - Narrative Make Logic Model more readable and clear The branch, Developmental Local Government, together with partners, will deliver a number of activities and outputs under the headings of policy and research, regulations, support and resources that collectively comprise a district and local municipal support programme.

This will result in DMs and LMs being able to adequately prepare and implement their IDPs which will ensure that delivery is improved within the five KPAs which collectively contribute to a better life for all.

When applying the LOGIC model to the APP, it became clear that there were some gaps around:

- How the department would institutionalise its support, intervention & monitoring function. - Measurable objectives tended to focus on outputs at the municipal level, - How the department will implement support measures to achieve these outputs. - Integration of Municipal & Departmental Plans with Provincial & National Plans Applying framework to DLGTA: Authority functions

The graph illustrates the current organogram in the context of authority functions

35 30 25 20 15 10 5 0 Norms & Monitoring & Framework &Co-ordination Support Intervention Standards Oversight targets & mobilisation Authority functions ctd

• Intention to provide strong monitoring, co-ordination and support functions: – Functions within different directorates & sub-directorates – issues of co-ordination, duplication & inefficiencies? – Elevate these functions • Norms & standards? • Framework & targets? • Intervention: – Intervention function very weak – sub-division (good governance) of municipal administration directorate called municipal interventions. – However, staff can be deployed to assist with interventions. – Further work required on analysing previous interventions undertaken by province. Provider functions

• Wide range of existing institutions providing support • Absence of authority functions is limiting their impact • Refer to Slides 16 – 17 above Institutionalising the Framework

• In order to institutionalize the framework, a number of steps are required related to establishment activities. Once established and institutionalized, the framework will then become part of the Department’s ongoing planning processes. On the following slide, these steps are illustrated in the form of a “roadmap”. Roadmap

Institutionalised Function 11

Refined DM & LM Support9

Year 3: Programmes Full Roll-out

Training of staff 10

8 Evaluation and refinement

DM & LM Pilot Support Programmes in each category 7 Pilot

Year 2: 6 1st Municipal Assessment 5 MR&E Framework & 4 PMU Establishment targets (MRE Unit)

` 3 Mobilisation

2 Consultation

1 Framework for Support Consultation & Intervention Year 1: Framework &

Municipal Support Plan

Building authority capacity:

Design a Provincial Municipal Support Plan. • Framework & targets • Norms & standards (for the way in which support is provided). • Monitoring and evaluation. Specific & ongoing. • Contract management. Ongoing. • Co-ordination & mobilisation. Ongoing. Establish Strategic Support Unit within office of DDG • Programme Manager, Project Manager, Project Administrator, short term or part-time contractors. • Provide direction & parameters for support providers • Coordinate Capacitation of District & Local Municipalities • Coordinate all Support Programmes & hands on support • Focus on the development of Framework & Targets • Focus on the development of Norms & Standards Establish MRE Unit within office of DDG