ASSESSING THE LOCAL GOVERNMENT TURNAROUND … · 2.7.5 Ngqushwa Municipality turnaround strategy...
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i ASSESSING THE LOCAL GOVERNMENT TURNAROUND STRATEGY (2009) AND IMPLEMENTATION STRATEGY (2010) FOCUSING ON MUNICIPAL SERVICE DELIVERY IN RURAL MUNICIPALITIES. CASE STUDY: NGQUSHWA LOCAL MUNICIPALITY JOELENE BROWN APRIL 2019
Transcript of ASSESSING THE LOCAL GOVERNMENT TURNAROUND … · 2.7.5 Ngqushwa Municipality turnaround strategy...
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ASSESSING THE LOCAL GOVERNMENT
TURNAROUND STRATEGY (2009) AND
IMPLEMENTATION STRATEGY (2010) FOCUSING
ON MUNICIPAL SERVICE DELIVERY IN RURAL
MUNICIPALITIES. CASE STUDY: NGQUSHWA
LOCAL MUNICIPALITY
JOELENE BROWN
APRIL 2019
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ASSESSING THE LOCAL GOVERNMENT TURNAROUND STRATEGY (2009)
AND IMPLEMENTATION STRATEGY (2010) FOCUSING ON MUNICIPAL
SERVICE DELIVERY IN RURAL MUNICIPALITIES. CASE STUDY: NGQUSHWA
LOCAL MUNICIPALITY
by
Joelene Brown
Student Number: 202314138
Submitted in fulfilment of the requirements for the degree Master of Business Administration at the Department of Business Studies, Faculty of Business and Economic Sciences to be awarded at the Nelson Mandela University
April 2019
SUPERVISOR
Prof. Chris Adendorff
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DECLARATION
I, Joelene Brown, 202314138, hereby declare that the treatise for Masters in
Business Administration is my own work and that it has not previously been
submitted for assessment or completion of any postgraduate qualification to another
University or for another qualification.
…………………………. (Signature)
Joelene Brown
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ACKNOWLEDGEMENTS
I express my sincere gratitude to Professor Chris Adendorff, my research supervisor,
for his patient guidance, enthusiastic encouragement and insightful critique of this
research work.
The finalisation of this work would not have been possible were it not for the
continuous consistent support and encouragement of my life partner and best friend
Nico de Villiers.
Special thanks should be given to my family and my business partners without
whose encouragement, patience and assistance I would not have been able to
complete this research or my MBA Degree.
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ABSTRACT
Purpose – Analysing the root causes of the challenges experienced by local
municipalities in service delivery.
Design/Methodology/Approach – A single case study research approach was
utilised and the study was qualitative in nature. The research focussed on the
challenges of rural local municipalities rendering municipal services to their
communities and the root causes of these challenges. It furthermore assess whether
the Local Government Turnaround Strategy can make a positive impact on service
delivery, specifically within rural municipalities such as the Ngqushwa Local
Municipality. The case study made use of an in depth literature review based on
secondary sources as well as a semi structured interview with the Municipal
Manager of the Ngqushwa Local Municipality.
Practical implications – In the event that the root causes hampering service
delivery can be solved, specifically in rural municipal areas, it will not only assist
municipalities to comply with their constitutional duties, but will also assist with
various socio-economic problems which exist within communities specifically in rural
areas.
A limitation to the study – The researcher experienced reluctance by the relevant
employees of municipalities to part take in the research effort and to make
themselves available for interviews.
Originality/Value – Large backlogs exist in relation to service delivery of
municipalities specifically in rural areas. The research effort provided relevant
information in relation to the root causes of the challenges which are experienced by
local municipalities and what problems must be solved in order for municipalities to
effectively and efficiently render service to communities in a sustainable manner.
Research Type – Single Case Study
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Keywords – South Africa, local municipalities, challenges of local municipality, root
causes of challenges of local municipalities, rural municipalities, municipal service
delivery, municipal turnaround strategies.
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CONTENTS PAGE
Declaration iii
Acknowledgements iv
Abstract v
List of abbreviations xii
List of Figures xiii
List of Tables xiv
CHAPTER 1: INTRODUCTION AND BACKGROUND OF THE STUDY
1.1 Introduction 1
1.2 The history and the functioning of the South African
Local government prior to 1994 2
1.3 The new democratic and Constitutional South Africa 3
1.4 Problem Statement 5
1.5 Case Study: Ngqushwa Local Municipality 7
1.6 Research Questions 9
1.6.1 Primary research question 9
1.6.2 Secondary research questions 10
1.7 Research objectives 10
1.7.1 Primary research objectives 10
1.7.2 Secondary research objectives 11
1.8 Propositions 11
1.9 Conceptual Research Framework 14
1.10 Research Design and Methodology 16
1.10.1 Research paradigm 17
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1.10.2 Data Collection 18
1.10.3 Method of Data Collection 18
1.10.4 Data Analysis 18
1.10.5 Reporting or Synthesis 19
1.11 Contribution of the Research 19
1.12 Outline of the study 20
CHAPTER 2: LITERATURE REVIEW
2.1 Introduction 22
2.2 Historical Background 23
2.2.1 Municipalities and its powers and functions prior to 1994 23
2.2.2 Municipalities and its powers and functions post 1994 26
2.3 Functions and Power of Local Government 28
2.4 Service Delivery in rural areas 30
2.5 Challenges of Local Municipalities in service delivery and the
factors which negatively influence service delivery 34
2.5.1 Poor leadership and political interference 35
2.5.2 Financial Resources and the role of Municipal Managers 38
2.5.2.1 Role and Responsibility of a Municipal Manager 41
2.5.3 Intergovernmental relations 44
2.6 Strategic Planning and Implementation of Policies 46
2.7 Report on Municipal Service Delivery 48
2.7.1 State of Local Government in South Africa: Overview Report (2009) 48
2.7.2 Twenty Year Review - Background Paper: Local Government 49
2.7.3 Local Government Turnaround Strategy 50
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2.7.4 Ngqushwa Local Municipality – Specific LGTAS Guidelines 57
2.7.5 Ngqushwa Municipality turnaround strategy (NMTS) 58
2.8 The Strategic & Annual Performance Plan 62
2.9 Conclusion 62
CHAPTER 3: RESEARCH METHODOLOGY
3.1 Introduction 64
3.2 Case Study Research approach 64
3.3 Case study research design 67
3.3.1 Case study questions 69
3.3.1.1 Dependable Variable – Service Delivery 70
3.3.1.2 Independent Variable: P1 – Political Interference 70
3.3.1.3 Independent Variable: P2 – Ethical Leadership 71
3.3.1.4 Independent Variable: P3 – Intergovernmental 71
Relationships
3.3.1.5 Independent Variable: P4 – Financial Resources 71
3.3.1.6 Independent Variable: P5 – Municipal Turnaround
Strategy 72
3.3.2 Case Study Propositions 72
3.4 Research Paradigm 73
3.4.1 Root Cause Analysis 74
3.4.2 Unit of Analysis 77
3.4.2.1 Validity 77
3.4.2.2 Reliability 79
3.5 Data Collected 80
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3.6 Linking the Data to the Proposition 80
3.7 Pattern Matching 80
3.8 Conclusion 81
CHAPTER 4: DATA ANALYSIS AND FINDINGS
4.1 Introduction 82
4.2 Descriptive Data Analysis 83
4.3 Presentation of Qualitative Findings 84
4.4 Interview with the Municipal Manager of the Ngqushwa Local Municipality 84
4.5 Service Delivery 85
4.6 Political Interference 93
4.7 Intergovernmental Relations 95
4.8 Financial Resources 96
4.9 Municipal Turnaround Strategies 103
4.10 Pattern Matching 106
4.10.1 Organising and arranging of data 107
4.11 Conclusion 108
CHAPTER 5: SUMMARY, CONCUSIONS AND RECOMMENDATIONS
5.1 Introduction 109
5.2 Summary 109
5.3 Conclusion from the Research Methodology 111
5.4 Interpretations 112
5.4.1 Research problem and conclusions 112
5.4.2 Research questions with conclusions 113
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5.4.2.1 Political interference and ethical leadership 113
5.4.2.2 Intergovernmental relationships 114
5.4.2.3 Financial resources 114
5.5.3 The secondary research questions were answered in the study 116
5.5 The Dependant Variable: Service Delivery 117
5.6 Key issues and Corrective Action Plan for Ngqushwa Local 117
Municipality
5.7 Suggestions for Future Research 122
5.8 Concluding Remarks 123
6. REFERENCES 124
7. TABLE OF LEGISLATION 137
APPENDIX A: INTERVIEW QUESTIONS 138
APPENDIX B: TURNITIN REPORT 141
APPENDIX C: ETHICS CLEARANCE FORM 143
APPENDIX D: DECLARATION BY CANDIDATE 145
APPENDIX E: PERMISSION TO SUBMIT TREATISE FOR 146
EXAMINATION
APPENDIX F: PERMISSION TO SUBMIT FINAL COPIES OF TREATISE 147
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LIST OF ABBREVIATIONS
CAP – Corrective Action Plan
LED - Local Economic Development
LGTS - Local Government Turnaround Strategy
MTAS – Municipal Turnaround Strategy
MFMA - Municipal Finance Management Act 56 of 2003
Ngqushwa - Ngqushwa Local Municipality
SALGA - South African Local Government Administration
Stats SA - Statistics South Africa
Structures Act - Municipal Structures Act 117 of1998
Systems Act - Municipal Systems Act 32 of 2000
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LIST OF FIGURES
Figure 1.1: The vicious cycle of service delivery failures – The concern
causal loop diagram 6
Figure 1.2 Map of Ngqushwa Local Municipality: 2017 8
Figure 1.3 Propositions influencing the causes for the failure of
municipalities in service delivery in rural areas in South Africa. 13
Figure 1.4 Conceptual Research Frameworks 15
Figure 2.1 IDP Plan Ngqushwa Local Municipality 55
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LIST OF TABLES
Table 1.1: Secondary research questions 10
Table 1.2: Secondary research objectives 11
Table 2.1 Minimum standard for basic services 53
Table 3.1: Relevant conditions for various research methods 66
Table 4.1: Secondary research questions 82
Table 4.2: Overview of common statistics of Ngqushwa Local Municipality 86
Table 5.1: Research objectives achieved 110
Table 5.2: Secondary research questions 116
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CHAPTER 1
INTRODUCTION AND BACKGROUND OF THE STUDY
1.1 INTRODUCTION
The Constitution of South Africa (1996), more specifically section 152(1)(b) thereof,
specify one of the objects of local government is to ensure the provision of services
to communities in a sustainable manner. National Government has injected
significant financial resources into municipalities to promote both social and
economic development and the development of infrastructure. Despite these efforts
many municipalities have failed to meet the needs of their communities (Jakoet-
Salie, 2014, p. 4). In pursuance of compliance with the Constitutional Obligations
imposed on Local Government pertaining to service delivery, various legislation were
passed and policies developed and implemented over the past 20 years. Most of
these policies yielded little or no success and as a result local government have
been unable to effectively discharge their Constitutional mandate in relation to
service delivery. This resulted in the public acting out against local government. Over
the past ten to fifteen years various protest actions have been conducted by the
affected communities. These protest actions have in most instances turned violent
and gave rise to vandalism and destruction of property (Municipal IQ - Municipal
Hotspots Monitor, 2017).
As a result of these protests and the clear lack of trust of communities in
government, the Local Government Turnaround Strategy was implemented during
November 2009. The Strategy was imposed to restore the confidence of the people
in government (Implementation Plan: Local Government Turnaround Strategy,
2010). Some of the reasons for the implementation of the strategy was the
weaknesses in the local government model, policy and legislative factors, politics,
poor monitoring systems, lack of capacity and skill and weak intergovernmental
support systems (Nlhengethwa, 2013). Key areas of concern which the strategy
addresses are service delivery, spatial conditions, governance, financial
management, local and economic regional assessment and support (Department of
Co-operative Governance and Traditional Affairs, 2009). Although all these
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challenges and weaknesses have been identified and the strategy was specifically
formulated to eliminate these challenges the question that must be answered is “why
the Local Government Turnaround Strategy (2009) has not made a significant
difference in municipal service delivery in specifically rural areas”? For purposes of
this research the focus is placed on the challenges experienced by local government
in rural areas pertaining to service delivery and to assess why policies such as the
Local Government Turnaround Strategy and the implementation thereof have not
made a marked difference to basic service delivery in rural areas.
1.2 THE HISTORY AND THE FUNCTIONING OF THE SOUTH AFRICAN
LOCAL GOVERNMENT PRIOR TO 1994
In order to understand the challenges experienced by municipalities in relation to
service delivery, one has to understand the history and the historical structure of
municipalities. Prior to 1994, South Africa was considered a unitary state and
consisted of four provinces, Free State, Natal, Cape, and the Transvaal.
Municipalities were merely creatures of statute and could only function within a legal
framework of rights and powers which were delegated to them by the provincial
legislature (de Visser, 2008).Legislation were enacted which enforced the allocation
of separate living areas for different races and municipalities had an obligation to
serve communities subject to these racially defined lines. The first South African
Constitution was published in 1961 and provided that municipalities at local levels
could only govern the affairs of whites, who included service delivery (The Republic
of South Africa Constitution Act 31 of 1961). The affairs of all other races were
considered under general matters and remained subject to the national government
(Steytler and De Visser, 2008, p. 22-1).
During 1983 a second Constitution was enacted which continued to demonstrate that
South Africa remained a unitary state with a strong centralized government system in
terms whereof Provincial and Local Government merely gave effect to the functions
and powers delegated to them by the National Government. Although this
Constitution made provision for the rights of coloureds and Indians in limited ways, it
still failed to provide for the rights of blacks which remained a general matter in the
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portfolio of national government. As legislation could only be abolished by
Parliament, communities could not challenge any legislation as being
unconstitutional in a court of law (Primstone, 2009).
The first democratic elections occurred during 1994 which marked the birth of a new
democratic South Africa. A constitutional assembly consisting of all the political
players drew up a new Constitution, which, once certified as compliant with the
agreed constitutional principles by the Constitutional Court was enacted as the
Constitution of the Republic of South Africa in 1996 (hereinafter referred to as the
Constitution). The Constitution demonstrated strong elements of a decentralised
government and created three spheres of government. For the first time Local
Government, being the third sphere of government was bestowed with its own
constitutionally protected powers and functions as well as legislative powers of its
own. Its main task was to address the legacy left by apartheid by the provision of
basic municipal services for all communities and a developmental duty to uplift
previously disadvantaged communities (Primstone, 2009). It can be seen from the
historical development, that the new South African government inherited a legacy
saddled with major socio-economic developmental challenges. A constitutional duty
was placed on government to redress the results of past racial discrimination, which
included transforming municipal service delivery to ensure that the demand of all
South Africans are met. This entailed not only providing basic municipal service
delivery but also the installation of infrastructure through large scale development
projects requiring substantial technical and financial resources (Sithole & Mathonsi,
2015, p. 14-16).
1.3 THE NEW DEMOCRATIC AND CONSTITUTIONAL SOUTH AFRICA
The White Paper on Local government was published in 1998. This document
served as a guide to the legislator and to inform the public of government’s intended
implementation of its constitutional duties at local level. Various pieces of legislation
followed to provide enforceable guidance to municipalities to ensure their respective
compliance with their Constitutional duties. Amongst those statutes was the Local
Government: Municipal Structures Act (1998), the Local Government: Municipal
Systems Act (2000), The Local Government: Municipal Finance Management Act
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(2003), and the Intergovernmental Relations Framework Act 13 of 2005. Section 1
of The Municipal Systems Act of 2002 defines basic municipal services “as a
municipal service that is necessary to ensure an acceptable and reasonable quality
of life and, if not provided, would endanger public health or safety or the
environment” (Municipal Systems Act 32 of 2000). It therefore includes “access to
water, electricity, sanitation and refuse removal and healthcare”. At present these
basic municipal services (herein after referred to as services) which is considered by
some as an everyday occurrence, are considered a luxury for others.
It is not only important to provide services to partly give effect to the state’s duties in
terms of the Bill of Rights as contained in Chapter 2 of the Constitution, but the
services must be delivered in a manner that is sustainable and affordable and will
lead to the positive development and growth of communities. For example, if there is
a constant supply of water and electricity it can facilitate the development of smaller
businesses. In addition to the delivery of services, municipalities also have
developmental obligations to assist with the local economic development in the area,
social welfare issues and to create an environment in which the community can
flourish (Meyer, 2014, p 626). In an attempt to correct the wrongs of the past,
Chapter 2 of the Constitution creates legally enforceable socio-economic rights.
These rights place both a negative and positive duty on all three spheres of
government. Put differently, not only is government not to act in such a way that
interferes with these rights, but have a positive duty to protect and ensure through
legislative and other measures the progressive realisation of these rights for
everyone. In pursuance thereof, legislation was enacted and measures such as
policies and strategies developed and implemented.
During 2009 the Local Government Turnaround Strategy came into effect which was
different from previous policy documents as it did not follow the “one size fits all”
approach. The strategy created a framework within which each municipality can
create their own turnaround strategy based on the factors which affects them (Meyer
& Venter, 2014, 85). Despite the legislation and the various policies and strategies
which were developed and implemented (including the Turnaround Strategy of
2009), very little progress has been made in relation to specifically service delivery in
the rural municipalities. This is even more concerning when it is considered that it is
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24 years since South Africa attained democracy, 22 years since the Constitution was
enacted and 9 years after the implementation of the Local Government Turnaround
Strategy. Performance statistics on Local Government performance has been
obtained and will be analysed in the research.
The research will show that government has failed in its Constitutional obligation to
deliver basic services to all its citizens. The failure of government is especially
prevalent in poorer rural areas. One indicator of this conclusion is that the majority of
rural municipalities are still receiving qualified audits and are struggling with the
provision of even the most basic service delivery in their respective areas of
jurisdiction (Van der Waldt, 2014, p. 132:152). The research will examine the
challenges faced by municipalities in service delivery and will attempt to explore why
these challenges have not yet been eradicated by the implementation of the various
policies and strategies with specific reference to the Local Government Turnaround
Strategy (2009). It will also point out the root causes of these challenges to
determine why there has been no substantial increase in service delivery since the
implementation of the Local Government Turnaround Strategy.
1.4 PROBLEM STATEMENT
Even though various statutes, policies and strategies have been passed and
developed to enable Local Governments to comply with their constitutional
obligation, it is clear that no significant progress have been made over the past 9
years in relation to specifically service delivery in rural municipalities. (Sithole &
Mathonsi, 2015, p. 6) Various strategies which have been developed, such as the
Local Government Turnaround Strategy, addressed these challenges, however the
challenges remains largely the same. It is clear from analysing the statistics relating
to local government that municipalities have over the past 20 years consistently
failed in their constitutional obligation to deliver basic municipal services to
communities in a sustainable manner. (Kroukamp, 2016, p. 105; Mathane, 2013, p.
84:132) It is evident that despite all efforts to date, all three the spheres of
government, National, Provincial and Local Government, has an inability to deal with
and to resolve the challenges in relation to the provision of municipal services in an
affordable and sustainable manner. This is most evident in rural municipalities with
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some levels of successful implementation apparent in the bigger metropolitan
municipalities such as Cape Town (SALGA, 2018, p.16).
As a result of the failure of government to deliver services, the public started to
engage in violent protests. The national government thereafter appointed task teams
to investigate the challenges experienced by municipalities in relation to service
delivery. These task teams made recommendations. In most part these
recommendations expected development of national policies and the implementation
thereof by Local Government which remained at the fore front of developing their
communities and delivering sustainable and affordable municipal services. Research
conducted by Rocha (2010), found that this creates vicious circle as shown in figure
1.1 below and that this does not provide any real solution to the problems (Rocha,
2010, p. 8-9).
Figure 1.1: The vicious cycle of service delivery failures – The concern causal loop
diagram
Source: Rocha. (2010)
Service delivery
policies and programme developed
Policies and programmes implemented
Extent of service delivery
performance
Public not satisfied with government performance
Number of service delivery protests
Task Teams established
Develop new measures to
adddress concerns
Internal Environment
External Environment
External Environment
Internal Environment
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This research will attempt to explain the root causes relating to why the strategies,
such as the Local Government Turnaround Strategy, which addressed all the
challenges experienced by local municipalities, have failed to make a significant
difference. This problem is especially concerning in rural municipalities such as the
Ngqushwa Local Municipality. Statistics pertaining to service delivery in the area,
which is set out below reveals that municipal service delivery has failed to improve.
The causes of this can be attributed to both the internal operations of the
municipalities as well as to various external factors, such as political interferences, a
lack of intergovernmental support and a lack of financial and technical resources.
The lack of resources can be directly linked to the impoverished rural communities it
serves and the lack of fiscal support from National Government. (Ramutsheli &
Janse van Rensburg, 2015, p. 107-117)
1.5 CASE STUDY: NGQUSHWA LOCAL MUNICIPALITY
This research will analyse available statistics relating to Ngqushwa Local
Municipality. Ngqushwa Local Municipality (hereinafter referred to as Ngqushwa) is
situated on the east coast of South Africa, which in the previous dispensation
geographically fell within the Ciskei homeland. In the new dispensation Ngqushwa
was established in terms of section 12 of the Municipal Structures Act and shares its
area of jurisdiction with the Amathole District Municipality. The municipality is
categorised as a Category B4 municipality, which is a municipality established in a
largely rural area with one or two township developments within the jurisdictional
area (www.ngqushwa.gov.za).
A map of the Nguwhswa Local Municipality is set out below in Figure 1.2.
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Figure 1.2 Map of Ngqushwa Local Municipality: 2017
In 2011 there were 19471 households within this municipal area. Of these
households only 5% had access to a toilet that can flush and which was connected
to a sewerage system, 7.2% received weekly refuse removal services and 6.5% had
piped water inside their dwelling. These statistics did not show marked improvement
in 2016 when it was recorded that the number of the households reduced to 17149
(2322 households less than in 2011), of which 8% had access to a toilet that can
flush and which is connected to a sewerage system, 8.8% received weekly refuse
removal services and only 7.2% had piped water inside their dwelling (Ngqushwa
Local Municipality - Demographic, 2018). Considering the decline in the number of
households, it is clear that there has been no real growth in infrastructure
implementation or service delivery within this area.
The State of Basic Service Delivery in South Africa (2016) provided data in relation
to all 72 category B4 municipalities and the services they deliver to their
communities. (Lehohla, 2016, p.2). In terms of the report, households in category B4
municipalities have limited access to drinking water as only 6.8% has water inside
their dwelling, 29.1% has water inside their erf; 33.1% has water outside their yard;
31% has no access to piped water. The state of basic services pertaining to
sanitation and refuse removal is just as alarming and large backlogs exist on these
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services in Category B4 municipalities (State of Basic Service Delivery, 2016, p. 27-
44).
As seen above the duty of municipalities to deliver basic municipal services is an
entrenched obligation contained in section 152 of The Constitution read with the Bill
of Rights. It is therefore a basic and legally enforceable human right which the state
has a positive obligation to give effect to (Koma, 2010, p. 111-118). Local
government remains the third sphere of government which stands at the forefront of
service delivery. At present thousands of people living in rural areas do not have
access to sewerage systems, running water or electricity and government are not
complying with the provisions enshrined in the Constitution. The effect has been
communities who engage in protest actions leading to violence and vandalism of
state and private property. In the event that the service delivery issues can be
resolved, this problem will also cease to exist. If basic municipal services can be
provided to all South African citizens it will enhance the lives of thousands of people
and provide them with dignity, health and wellbeing as their standard of living will
improve. (Mathane, 2013, p. 106-108) It will assist with various social problems
experienced and can create an environment for socio-economic development and
the relief from poverty. In instances where people do not have water or sanitation
services connected to their properties it can be hazardous for their health and
wellbeing and remains an insurmountable obstacle to socio-economic development
(Local Government Action, 2018).
1.6 RESEARCH QUESTIONS
The research will focus on answering the following questions:
1.6.1 Primary research question:
What is the root causes of the challenges experienced by rural local municipalities in
relation to service delivery prior to the implementation of the individual municipal
turnaround strategies (MTAS)?
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1.6.2 Secondary research questions
The primary research question was supported further by the secondary research
questions presented below in Table 1.1.
Table 1.1: Secondary research questions
RQ1 What active steps are required for the successful implementation of the
Local Government Turnaround Strategy to make a significant difference to
service delivery specifically in rural areas?
RQ2 What are the effects of the factors which negatively influence municipal
service delivery?
RQ2.1 A lack of resources, specifically financial resources and human resources
including the inability of municipalities to plan strategically?
RQ2.2 The effect of poor leadership both politically and administratively resulting in
an unethical culture and poor governance?
RQ2.3 Intergovernmental relationships and to determine if there is sufficient
support from Provincial and National Government?
RQ3 What can be changed within local government to achieve effective service
delivery to rural areas?
Source: (Researchers own construction 2018)
1.7 RESEARCH OBJECTIVES
1.7.1 Primary research objectives
Based on the main research question the research will seek new insight into the root
causes of local government’s failure to provide effective, efficient and sustainable
basic municipal services to communities situated in rural areas, as prescribed by the
Constitution. It will furthermore assess whether the Local Government Turnaround
Strategy (2009) has not made a significant difference in local municipalities situated
in rural areas and what is required for such policies to be successful. The research
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will conduct a case study in the form of a root cause analysis of the challenges of
municipal service delivery, focussing on the Ngqushwa Local Municipality.
1.7.2 Secondary research objectives
The secondary research objectives were formulated to address the primary
objective.
Table 1.2: Secondary research objectives
RO1 To conduct an in-depth evaluation into the existing literature and knowledge
into the challenges relating to service delivery and to assess if the challenges
have changed for the better or worse during the past 20 years?
RO2 To investigate the causes of poor service delivery by municipalities.
RO3 To investigate the problems experienced in the Ngqushwa Local Municipality
in relation to service delivery and the causes thereof.
RO4 To conduct an interview with the Municipal Manager of the Ngqushwa Local
Municipality to assess the challenges experienced specifically in relation to
service delivery.
RO5 To conduct an analysis into the reasons why policies such as the Local
Government Turnaround Strategy (2009) and the Implementation Policy
(2010) has not made any significant differences to municipal service delivery.
RO6 To investigate possible solutions to the root causes of the challenges relating
to service delivery.
RO7 To discuss the results and interpretations of the research and to make
appropriate recommendations based on the results.
Source: (Researchers own construct, 2018)
1.8 PROPOSITIONS
According to Yin (2009, p. 32) it is critical to link primary data collected to the
propositions of a case study. The research will propose that in order for a
municipality to function effectively and to provide optimal municipal service delivery
to the communities within its area, it must ensure that it has the following:
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Policy setting out the vision of what it wants to achieve;
Different knowledge and skill sets required to achieve the goal or vision;
The necessary financial, technical and human resources required to achieve
the goal;
A detailed plan setting out the procedures which are to be followed to ensure
that the vision set out in the policy are achieved.
Intergovernmental co-ordination in relation to strategic planning.
An ethical culture free from political interference which purely focuses on the
effective administration of a municipality with its main purpose to serve its
people.
The research will indicate that it is imperative for municipalities to draft and
implement an appropriate municipal turnaround strategy (MTAS) to ensure that it can
provide efficient and effective services to the communities within the municipal area.
In order for a MTAS to be successfully implemented the following elements are
required a strong ethical leader who can implement change, a good strategic team
which can both plan and execute, financial and human resources as well as good
intergovernmental relationships between the local, provincial and national
government.
The possible solutions to enhance municipal service delivery within the Local
Government sphere which will be considered in the research are as follows:
Implementation of proper procedures in relation to the internal processes which
are to be followed within the municipality, which includes training of staff,
performance review procedures and internal procedures.
Financial resources are required.
Improved leadership, based on an ethical foundation.
Improved intergovernmental support and co-ordination in relation to strategic
planning.
Separation of administrative functions from political agendas to ensure that
there is no political interference in administrative functions within municipalities.
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The dependable variable was identified as service delivery and the perceived
success of service delivery within local municipalities in South Africa. A total of 5
independent variables were identified which could have potentially influenced the
dependable variable. These independent variables included: political interference,
ethics, intergovernmental relations, implementation of municipal turnaround
strategies and financial resources. The relationship between the dependable variable
and the five (5) independent variables are illustrated in Chapter 4 below. The
relationships were empirically tested to achieve the primary and secondary
objectives of the study. The following propositions of the case study were
investigated and are illustrated in Figure 1.3 below.
Figure 1.3 Propositions influencing the causes for the failure of municipalities in
service delivery in rural areas in South Africa.
INDEPENDENT VARIABLES DEPENDENT VARIABLE
Source: Researchers own construct (2018)
P1 = There is a positive relationship between minimal political interference and the
perceived success of service delivery within rural municipalities in South
Africa.
Perceived success of service delivery within rural municipalities in
South Africa.
POLITICAL INTERFERENCE
ETHICS
INTERGOVERNMENTAL RELATIONSHIPS
FINANCIAL RESOURCES
MUNICIPAL TURNAROUND STRATEGIES
P2
P3
1
P41
P5
1
P1
1
+
+
+
+
+
14
P2 = There is a positive relationship between ethical principles in leadership and the
perceived success of service delivery within rural municipalities in South
Africa.
P3 = There is a positive relationship between good governance and effective
intergovernmental relationships and the perceived success of service delivery
within rural municipalities in South Africa.
P4 = There is a positive relationship between sufficient financial resources and the
perceived success of service delivery within rural municipalities in South
Africa.
P5 = There is a positive relationship between the successful implementation of a
municipal turnaround strategy and the perceived success of service delivery
within rural municipalities in South Africa.
1.9 CONCEPTUAL RESEARCH FRAMEWORK
The research methodology used is a qualitative research methodology. The
conceptual framework discussed below was developed to illustrate the objectives of
the research and formulate an understanding of the study.
Figure 1.4 Conceptual Research Framework
15
Source: Researchers own construct (2018)
The research will be conducted to determine what challenges are experienced in
municipal service delivery and what the root causes of these challenges are. It will
glance back at the pre-constitutional era and touch on the historical inequality prior to
1994. Post 1994 it will investigate the various obligations placed on local authorities
in terms of the Constitution which came into effect in 1996 and the obligations which
were placed on local authorities in respect of service delivery. In order for
municipalities to give effect to the Constitutional obligations various pieces of
legislation had to be enacted to provide them with the necessary functions and
powers as set out in the Constitution. The challenges experienced by municipalities
in relation to service delivery will be considered in general and Ngqushwa in
particular. The reason for the implementation of the Local Government Turnaround
Strategy (2009) and the Implementation Plan (2010) will be discussed. The main
Root Cause Analysis of the challanges experienced in
rural municipalities causing the failure of municipal service delivery and a Corrective Action Plan
Historical Analysis of
Muncipalities
Powers and funcitons of
municipalities
Poor leadership and political interference
Impact of a lack of financial Resources
Importance of Inter-governemental relationships
Municipal
Turnaround Strategy
Perceived success of Service delivery in Municipalities in
South Africa
16
question is how municipal turnaround strategies can make a significant improvement
in relation to service delivery in rural areas and what is required for such strategies to
be successful.
The research will be conducted through an extensive analysis of literature, records in
relation to municipalities both current and historical, newspaper articles, and
interviews with the relevant municipal officials in the Ngqushwa Local Municipality.
The Municipal Manager at Ngqushwa will be interviewed as the Municipal Manager
is the key individual in municipalities in relation to the development and
implementation of turnaround strategies. The aim of the interview is to assess the
internal processes followed within the municipality, challenges which are
experienced by the municipality as well in the implementation of policies and
specifically the Ngqushwa Local Municipality’s turnaround strategy. It is important to
understand both the internal factors as well as the external factors which influence
the functioning of a rural municipality which directly hinders its ability to provide
effective and efficient municipal service delivery.
1.10 RESEARCH DESIGN AND METHODOLOGY
For purposes of this research a qualitative research method will be used based on a
case study. According to Collis & Hussey (2009, p. 68-69), a qualitative research
method is concerned with the collection, interpretation and use of data and the
analysing thereof to explain a phenomenon. A case study is a useful research
method which allows for the expansion and generalising theories by combining the
existing theoretical knowledge with new insight. It explores a single phenomenon in a
natural setting and a variety of methods can be used to obtain in-depth knowledge
into the case being researched. A case study also have an investigative element,
which will be utilised in this instance to see if it can be determined if the Local
Government Turnaround Strategy and Implementation Policy have assisted
municipalities situated in rural areas with municipal service delivery.
According to Collis & Hussey (2009, p. 68) and Yin (2009, p. 8) a case study can
take the form of exploratory, descriptive or explanatory studies (Baxter & Jack, 2008,
17
p. 547). The type of case study that will be utilised in the research is both a
descriptive and an explanatory case study using a single-case. An explanatory case
study is used in instances where the study seeks to test the “how and why”
questions (Schell, 1992, p. 1). An exploratory case study is used to explore certain
situations in which the intervention being evaluated does not have clear or a single
set of outcomes (Baxter and Jack, 2008, p. 547-548). A descriptive case study
observes the phenomenon and utilises current theorises to understand and explain
what is occurring. According to Yin (2003, p. 3-4) this type of case study is used to
describe an intervention or phenomenon and the real-life context in which it
occurred.
1.10.1 Research paradigm
The term paradigm originated in the book “The structure of scientific revolutions”, by
the author, Thomas Kuhn‟s which was published in 1962. (Mouton, 1996, p 203).
According to Neuman (2011, p. 94) a paradigm can be described as a whole system
of thinking. A paradigm therefore refers to the established research traditions in a
particular discipline (Mouton, 1996, p. 74) and includes the accepted theories,
traditions, approaches, models, frame of reference, body of research and
methodologies. (Creswell, 2009, p. 5).
The research paradigms to be used in the research are that of Interpretivism. The
interpretivist research paradigm allows for explanatory research to be conducted by
making use of various methods such as observations, interviews and collection of
data through literature. (Cooper & Schindler, 2009) Interpretivism involves an
inductive process with the purpose of developing an interpretive argument of social
phenomena within a particular context (Collis & Hussey, 2009, p. 43). The case
study research approach is associated with the interpretivism paradigm and
therefore with qualitative research methodology. The qualitative case study is a
specific research approach that facilitates investigation of a phenomenon (the case)
in its context (Baxter and Jack, 2008, p. 544; Collis and Hussey, 2014, p. 68). Yin
(2003, p. 48), and Collis and Hussey (2014, p. 52) emphasise that, in an
interpretivism research paradigm, data credibility is of a very high standard. The
18
credibility of the data is high because the responses can be verified and transcribed.
To ensure validity in the research, a process using multiple sources of information
will be followed, primary and secondary data will be collected and the data will be
described in detail to ensure that the reader can assess it and come to their own
conclusions in relation thereto.
1.10.2 Data Collection
Various sources will be used to collect data, such as statistical reports published by
Stats SA, historic documentation, journal articles, academic articles and thesis’s,
newspaper articles and other documentary information which can be obtained from
the Department of Cooperative Governance and SALGA. A semi structured interview
will be conducted with the municipal manager of Ngqushwa Local Municipality.
1.10.3 Method of Data Collection
A qualitative research approach is adopted in the form of both an explanatory and
descriptive research. Data will be collected in the form of formal research, a literature
review and empirical study will be conducted from sources retrieved from journal
articles, previous studies, bibliographic searches and a review of all available
literature to support the study. The literature to be reviewed are in relation to the root
causes for the failure of municipalities to deliver basic municipal services to its
communities as well as how municipal turnaround strategies developed in terms of
the Local Government Turnaround Strategy (2009) and Implementation Policy
(2010) have made a significant difference to service delivery. A qualitative semi
structure interview will be conducted with the municipal manager of Ngqushwa Local
Municipality. This interview will be recorded and transcribed to ensure the
correctness of the interpretation thereof.
1.10.4 Data Analysis
Data collection and analysis occurs consecutively in a qualitative study as it is a non-
linear method of analysing. Data analysis in case studies consists of first examining
19
the data, then categorising and tabulating it and it can also be recombined as
evidence. Empirically based conclusions will then be drawn from the research and
data collected (Baškarada; 2014, p 15; Yin, 2009, p.126). Each data source must be
treated separately and analyses separately (Baxter and Jack, 2008, 554-555). The
techniques used to analyse the collected data consisted of the logic of pattern
matching in linking the data to the research questions (Yin, 2003, p. 26-26; Yin,
2009, p 41).
1.10.5 Reporting or Synthesis
An in-depth description of the case will be reported on. The research will be
described in a comprehensive manner, both the phenomenon as well as the context
within which the phenomenon is occurring will be described in detail (Baxter and
Jack, 2008, p. 555). The research will be conducted in a systematic manner in terms
of which the problem question will be stated, each research question will be
addressed, the methods utilised to conduct the research will be explained and the
data which has been gathered and analytical tools used will be discussed. The
research will conclude on the confirmation and the conflicting findings of the
literature review and to make assertions and suggestions for further research
activities which can be perused in future.
1.11 CONTRIBUTION OF THE RESEARCH
The intended contribution of this research is to assess and re-evaluate the Local
Governments performance in relation to municipal service delivery with specific
reference to rural areas. It will seek insight into what is required for rural local
municipalities to effectively and efficiently render services to its communities. It will
examine the existing knowledge based on research which has been conducted over
the past 20 years on the topic of municipal service delivery and the failure of local
government to render basic municipal services to its communities, with the focus on
local municipalities situated in rural areas. The research will seek to establish what is
required for a local municipality to successfully implement a MTAS to ensure
compliance with the Constitutional duty placed on municipalities to render effective
20
and efficient municipal services to its communities. Limited research have been
conducted in relation to the root causes of the failure of municipalities to deliver basic
municipal services to specifically rural communities and the factors influencing rural
local government’s ability to successfully implement a MTAS to enhance municipal
service delivery.
The research will indicate that numerous policies and strategies have been
developed and implemented by government since the Constitution came into effect.
However most of these policies or strategies have been unsuccessful after its
development and implementation. It is important to understand the root causes of
failure in municipal service delivery in rural local municipalities to ensure that the
present problems and challenges can be corrected and resolved. To merely address
certain symptoms and to develop and implement more policies which do not correct
the root causes of the problems will serve no meaningful purpose if the root causes
are not eliminated.
1.12 OUTLINE OF THE STUDY
CHAPTER ONE: The Research Proposal
This chapter will provide a general introduction to the study in relation to municipal
service delivery. It contains the purpose for the research, the research problem and
objectives as well as the methodologies which are used in the study.
CHAPTER TWO: Literature Review
This chapter consists of a literature review to support the research questions and
objectives. It discusses the historical background of municipalities as well as the
powers and functions of local municipalities. It sets out the challenges that are
experienced by local municipalities in relation to municipal service delivery and
discuss the MTAS implemented in terms of the Local Government Turnaround
Strategy (2009) with particular reference to the Ngqushwa Local Municipality.
21
CHAPTER THREE: Research Methodology and Design
This chapter sets out the research methodology and design of the study to address
the research problem. It describes the data which was collected and the method
used in the analysis of the data.
CHAPTER FOUR: Data Analysis and Findings
This chapter focus on the data collected and links the data to the propositions
contained in chapter 1. Various findings are made based on the primary and
secondary data which was collected. The results of the data and the interpretation
thereof are used to develop conclusions and recommendations from the findings.
CHAPTER FIVE: Summary, Recommendations and Conclusions
This chapter presents a summary of the problem and the main findings. It also
includes the limitation of the study. It contains a corrective action plan which is
proposed to be implemented in the Ngqushwa Local Municipality to ensure that their
municipal turnaround strategy can successfully be implemented.
22
CHAPTER 2
LITERATURE REVIEW
2.1 INTRODUCTION
In the previous chapter, a context was created for the study. The topic was broadly
introduced and the background to the challenges experienced in municipal service
delivery was discussed. Chapter two contains an in depth literature review relating to the
challenges experienced in municipal service delivery and the root causes of these
problems.
Various researchers have conducted studies on the topic of the Local Government
Turnaround Strategy (2009). It however seems that since 2014 interest in this topic
has reduced dramatically. The previous studies that were conducted, specifically in
relation to the Local Government Turnaround Strategy (LGTS), focussed mainly on
Metropolitan Municipalities or focussed on the administrative elements of the Local
Government Turnaround Strategy. These studies did not focus on municipal service
delivery although some may have references threto.
A previous research (Bokwe, 2014) was conducted on the Local Government
Turnaround Strategy in the Ngqushwa Local Municipality, however at the time of this
dissertation no turnaround strategy was developed or implemented for Ngqushwa
Local Municipality and the research focussed on a more historical setting, and
assessed whether the strategy can address the wrongs caused by past apartheid
policies. This research was conducted during 2013 and the dissertation was
published in 2014.
In order to assess whether the MTAS developed and implemented in the Ngqushwa
Local Municipality during 2017 will be successful, with specific reference to service
delivery, one must first understand the challenges which exist in relation to municipal
service delivery in general. It is important to also consider the unique challenges
relating to municipalities located in rural areas. The challenges which will be
analysed are political interference and poor leadership, intergovernmental
23
relationships between the spheres of government, the lack of financial and other
resources of municipalities as well as the role that the municipal manager plays in
relation to the implementation of the MTAS. The research will also consider whether
sufficient protection against political interference is afforded to a municipal manager
in terms of the present legislative framework.
2.2 HISTORICAL BACKGROUND
In order to understand the challenges in relation to municipal service delivery it is
important to understand the historical background specifically in relation to
municipalities and their power and functions, or the lack thereof in South Africa prior
to 1994.
2.2.1 Municipalities and its powers and functions prior to 1994
Prior to 1994, municipalities were deemed ‘creatures of statute’. They could
therefore only function within a legal framework of rights and powers as delegated to
them by provincial legislature. (De Visser & Steytler, 2008) This meant that
municipalities had no legislative authority. They were purely administrative bodies
giving effect to National and Provincial instructions. As administrative functionaries,
all their actions, including the passing of by-laws, were therefore subject to review
(De Visser & Steytler, 2014). Municipalities served communities of which the
composition was purely defined upon racial lines. (Primstone, 2009) To give effect
thereto, local government was guided by a ‘plethora of pre-1948’ legislation which
served to control the movement of Blacks within the Union with the Group Areas Act
(41 of 1950) being the jewel in the crown of the then national government. This
legislation, which enforced separate development areas for different races, became
the cornerstone on which local government administration was based (Primstone,
2009). In 1961 South Africa became a republic and adopted a new constitution in the
same year (The Republic of South Africa Constitution Act 32 of 1961). The
Constitution did not change the status of municipalities. They were still considered
creations of provincial ordinances with extremely limited legislative authority. The
1961 constitution only provided for municipalities which could govern the affairs of
24
whites at local level. No self-governance existed for blacks, Indians or coloureds at
local level. Their affairs were deemed general matters and ‘remained subject to
central government’ (De Visser & Steytler, 2008).
Amendments to the Group Areas Act (79 of 1961) in 1966 did allow for the
establishment of ‘Management Committees’ for the Coloured and Indian
communities (De Visser & Steytler, 2014). Black community affairs were dealt with
by Black Urban Councils established in terms of the Black Councils Act (79 of 1961).
These councils were later replaced by administration boards established in terms of
the Black Local Authorities Act (102 of 1982), which later bestowed similar powers to
these black administration boards as were bestowed to white municipalities (De
Visser & Steytler, 2014).
The adoption of the 1983 Constitution (Constitution of the Republic of South Africa
Act 110 of 1983) deepened the divide between the various races. It intended to
appease Coloureds and Indians by allowing them to participate politically at central
level. De Villiers, Parsons, & Meiring (1988) expressed the following opinion about
the new constitutional dispensation: “The main principle underlying the new
constitutional dispensation is that each population group should enjoy self-
determination over its own affairs and assume co-responsibility for matters of
common concern.” This attempt at unity was not extended to blacks. The
administration of their affairs still vested in the State President. The President
therefore had sole and final control over the administration of black affairs which was
still seen as a ‘general affair’ (De Villiers, Parsons, & Meiring, 1988; De Visser &
Steytler, 2014).
The 1983 Constitution further demonstrated that at the time South Africa was a
unitary state with a ‘highly centralised system (Constitution of the Republic of South
Africa Act 110 of 1983). Parliament reigned as the supreme legislative authority.
The cabinet was the highest executive authority over ‘general affairs’ and the
respective Minister Councils, the highest executive authority over ‘own affairs. (De
Villiers, Parsons, & Meiring, 1988). Provincial and Local Government simply gave
effect to functions and powers delegated to them. These powers could be abolished
25
by Parliament and Provincial and Local Governments were constitutionally unable to
challenge any act of Parliament. The government of the day needed this highly
centralised system to ensure national compliance with their apartheid policies and
legislation (De Visser & Steytler, 2014). The Supreme Court of Appeal therefore had
very limited power to declare any legislation unconstitutional or unlawful. In fact it
would appear that they could only ‘pronounce’ on whether the ‘provisions of the Act
were complied with in connection with any law which is expressed to be enacted'.
Therefore the judicial power of legislative review was limited only to see whether the
‘procedures laid down by the 1983 Constitution Act has been complied with’ (De
Villiers, Parsons, & Meiring, 1988). The merit or validity of any Act of Parliament
remained unchallenged. The local authorities which were dependant on any
administrative or executive powers from provincial ordinances remained at the mercy
of central government, whose apartheid policies and distribution of revenue left
black, Indian and coloured local government institutions unable to function or provide
services. (Primstone, 2009)
“CDA Boerdery (Edms) Bpk v The Nelson Mandela Metropolitan
Municipality 2007 (4) SA 276 (SCA) 33 held that municipalities were
therefore at the bottom of a hierarchy of law making power:
constitutionally unrecognised and unprotected, they were by their very
nature ‘subordinate members of government vested with prescribed,
controlled governmental powers’”
As the apartheid era grew to a close it became necessary to build a new
dispensation. Community organisations also started to play a role in the apartheid
struggle in specifically townships and this ultimately caused a demand for democracy
from the bottom up (De Visser & Steytler, 2014). The changes in local government
after 1994, which led to local government being considered a third sphere of
government with entrenched legislative executive and administrative powers, are
fundamentally so to address the legacy left by apartheid (Primstone, 2009).
Historically local authorities were dependant on administrative or executive powers
from provincial ordinances and they remained subject to the central government. The
central government in turn applied apartheid policies and this affected the distribution
26
of revenue which was allocated to the non-white communities. The effect was that
the black, Indian and coloured local government institutions were unable to function
or provide services to its communities. As a result most of the rural areas were
undeveloped with a lack of basic infrastructure such as roads, electricity and water
connections.
2.2.2 Municipalities and its powers and functions post 1994
During the early 90’s as the apartheid era came to an end, a new municipal structure
was required and South Africa moved away from a centralised system of
government to a decentralised system. Post 1994 local government was considered
a third sphere of government with entrenched legislative executive and
administrative powers. During the period of 1995 to 2000, municipalities underwent
institutional reforms aimed at creating a democratic government system which will be
able to correct the wrongs of the past. This is confirmed in the Municipal Structures
Act, 117 of 1998, and it is in line with the Constitution and white paper on local
government and reads as follow:
“Whereas the Constitution establishes local government as a distinctive
sphere of government, interdependent, and interrelated with national and
provincial spheres of government;
Whereas there is agreement on the fundamental importance of local
government to democracy, development and nation-building in our country;
Whereas past policies have bequeathed a legacy of massive poverty, gross
inequalities in municipal services, and disrupted spatial, social and
economic environments in which our people continue to live and work;
Whereas there is fundamental agreement in our country on a vision of
democratic and developmental local government, in which municipalities
fulfil their constitutional obligations to ensure sustainable, effective and
efficient municipal services, promote social and economic development,
27
encourage a safe and healthy environment by working with communities in
creating environments and human settlements in which all our people can
lead uplifted and dignified lives;
Whereas municipalities across our country have been involved in a
protracted, difficult and challenging transition process in which great strides
have been made in democratising local government; and
Whereas municipalities now need to embark on the final phase in the local
government transition process to be transformed in line with the vision of
democratic and developmental local government”
The legislation which was enacted created in amplification of section 40 of the
Constitution a government system consisting of three spheres of government which
are interdependent and interrelated. One of the main aims was and remain turning
municipalities, as the third sphere of government, into effective and efficient service
orientated entities.
The three spheres of government refer to local, provincial and national government.
These spheres are “distinctive” but remain “interdependent” and “interrelated”. Part
of the interdependency is that the local sphere of government is “supervised” by
provincial and national government, insofar as the manner in which they execute
their powers and functions (De Visser & Steytler, 2014; Constitution of the Republic
of South Africa, 1996). This supervisory function has as its core an enabling function
as the Constitution expects provincial government to support local government and
to monitor their ability to do so (section 155(6) of the 1996 Constitution). In addition
the Provincial sphere of government needs to ensure that Local Government is
appropriately capacitated to fulfil their developmental role and perform their
functions, which includes the delivery of services. This supervisory role is apparent
also from national legislation in particular section 106 of the Municipal Systems Act,
which provides for an MEC who has reason to believe that a municipality cannot or
does not perform any of its statutory obligations either by means of
maladministration, fraud, corruption or any other serious malpractice it must take
28
action and investigate the matter (Ljeoma, 2013, p. 27). The spheres of government
are also “interrelated” in nature as there is a duty on both local, provincial and
national government to work together in equal partnership within the parameters of a
co-operative government and therefore to co-operate with one another to promote
the welfare objectives of the country as a whole (De Visser, 2009; Du Plessis, 2008;
Du Plessis, 2008).
The local sphere of government consists of 257 wall to wall municipalities divided
into different categories and has self-governing legislative and executive authority
which is vested in democratically elected municipal councils (De Visser, 2009). It
entails that they have the right to govern the affairs of their communities according to
their own initiative subject only to constitutional limitation, by giving effect to the
powers and functions as set out in Schedules 4B and 5B of the Constitution. It is
therefore clear that the provisions as set out in the Constitution is far removed from
the pre-constitutional era where municipalities were merely creatures of statute and
could only act on delegated or subordinate legislative powers and acted merely as
authorities administered by and entrusted to provincial councils (De Visser, 2009;
Fuo, 2014). These changes created constitutional responsibilities for the new
geographically integrated municipal authorities which faced the first service delivery
challenge, being that it had to serve larger communities, which were previously
totally excluded from receiving service delivery and had very little or no infrastructure
and it already had devastating service backlogs (Sithole & Mathonsi, 2015, p. 14-16).
2.3 FUNCTIONS AND POWERS OF LOCAL GOVERNMENT
To understand duties of local government in relation to service delivery it is important
to understand the functions and powers of local government as set out in various
pieces of legislation enacted in pursuance of the South African Constitution.
Section 152 of the Constitution specifies one of the objects of local government as
the duty to promote socio-economic development. The White Paper on Local
Government (1998) places a duty on local government to render basic services to
communities to ensure socio economic development. “Basic services enhance the
29
quality of life of citizens and increase their social and economic opportunities by
promoting health and safety, facilitating access to work, to education, to recreation
and stimulating new productive activities.”
Section 156 of the Constitution, to the exclusion of other spheres provide
municipalities with the executive and administrative authority over the functional
areas listed in Part B of both schedule 4 and 5 of the Constitution. Part B of
Schedule 4 and 5 of the Constitution includes functional areas such as water,
electricity, town and city planning, road and storm water drainage, waste
management, emergency services and economic planning. These functional areas
are exclusively the domain of municipalities and the executive and administrative
exercise of these functions may never be exercised by any other sphere of
government (section 41(1)(f) of the Constitution, 1996). Municipalities give effect to
the functions and powers the municipalities must exercise its executive and
legislative authority over these functional areas through their respective
democratically elected council (section 11, Municipal Systems Act, 1998).
In terms of section 73(1) of the Municipal Systems Act “a municipality must give
effect to the provisions of the Constitution and
a) Give priority to the basic needs of the local community;
b) Promote the development of the local community; and
c) Ensure that all members of the local community have access to at least the
minimum level of basic municipal services; “
To enable a municipality to comply with its constitutional duties, section 11(3) of the
Municipal Systems Act set out how municipalities give effect to their executive and
legislative authority:
a) “a municipality exercises its legislative or executive authority by developing
and adopting policies, plans, strategies and programmes including setting
targets for delivery;
b) promoting and undertaking development;
c) establishing and maintaining an administration;
30
d) administering and regulating its internal affairs and the local government
affairs of the local community;
e) implementing applicable national and provincial legislation and its by-laws;
f) providing municipal services to the local community appointing appropriate
service providers in accordance with the criteria and process set out in section
78;
g) monitoring and where appropriate, regulating municipal services where those
services are provided by service providers other than the municipality;
h) preparing, approving and implementing its budgets;
i) imposing and recovering rates, taxes, levies, duties, service fees and
surcharges on fees, including setting and implementing tariff, rates and tax
and debt collection policies;
j) monitoring the impact ad effectiveness of any services, policies, programmes
or plans;
k) establishing and implementing performance management systems;
l) promoting a safe and healthy environment;
m) passing by-laws and taking decisions on any of the above-mentioned matters;
and
n) doing anything else within its legislative and executive competence;
With the adoption of the Constitution, newly established municipalities became a
third sphere of government which although interrelated and interdependent is
remaining distinctive. One of the key elements of the decentralised government
system and in terms of section 41 of the Constitution, each sphere of government
may only exercise those functions and powers as described in the Constitution and
none of the spheres of government may encroach on either the geographical,
functional or institutional integrity of another sphere of government.
2.4 SERVICE DELIVERY IN RURAL AREAS
To understand the concept of service delivery, it is important to know what is
classified as a municipal service. The Municipal Systems Act 32 of 2000, defines a
basic municipal service as “A municipal service that is necessary to ensure an
31
acceptable and reasonable quality of life and, if not provided, would endanger public
health or safety or the environment.”
Secondly it is important to understand what is meant by the term rural area. A rural
area is defined in the Rural Developmental Framework (1997) to have the following
two characteristics:
“Sparsely populated areas in which people farm or depend on natural
resources, including villages and towns that are dispersed though these areas;
Areas that include large settlements in the former homelands, which depend on
migratory labour and remittances as well as government social grants for their
survival, and typically have traditional land tenure systems” (National Treasury,
2011).
Research shows that government is addressing backlogs in urban areas at a much
faster pace than in rural areas which are concerning as there is an obligation
placed on local government in terms of the Constitution to provide basic services to
all citizens of our country (Makale, 2015, p 4). The largest percentage of service
delivery related backlogs are located in the largely rural municipalities located in the
Eastern Cape and KwaZulu-Natal and to a lesser extent in Limpopo. The
infrastructure for water availability for households in rural areas is in comparison to
the metropolitan areas, inadequate and in many areas absent. The trend is most
prevalent in the Eastern Cape, KwaZulu –Natal and Limpopo (Statistics South
Africa, 2016).
In terms of “The state of basic service delivery in South Africa: In-depth analysis of
the Community Survey 2016 data”, the discrepancy which exist between rural and
urban areas are hidden in the national statistics. The report shows the following
statistics have been reported in relation to rural areas:
only 6.8% of households in rural B4 municipalities have access to piped water,
in contrast to 62.6% in metropolitan areas;
27.5% of households do not have access to an improved source of water;
22.5% of households in the Eastern Cape do not have access to an improved
source of water;
32
there is a 50.6% backlog in sanitation systems in the rural municipalities;
only 12.6% of households in rural municipalities received refuse removal
services. The report further shows that 81.6% of households in rural areas
discard refuse themselves, whereas only 10.2% discard their own refuse in
urban areas and 3.9% in metropolitan areas.
Rural areas generally consist of poorer communities. This phenomenon is apparent
from the statistics which was published in 2017 by Statistics SA in the “General
Household Survey” which indicated that grant beneficiaries were most common in
provinces which consist of a large rural population. Grant beneficiaries were most
common in the Eastern Cape where 41.8% of its residents received grants. The
provinces which followed were Limpopo with 41.1%, the Northern Cape with 37.5%
and KwaZulu Natal with 36.4% of its residents receiving grants. It further showed
that in the Eastern Cape 58% of residents rely on grants for an income amounting to
more than half the residents in the Eastern Cape. Most of these grants are allocated
to persons in rural areas. This clearly indicates that rural communities are poorer and
therefore cannot afford to pay for basic service delivery. This has a direct effect on
the financial resources of rural municipalities as they are to a great extend
dependant on the collection of taxes, tariffs and surcharges collected from the users
of such services (General Household Survey, 2017, p. 3)
During 2009 the National Treasurer reported that 56 local municipalities are in
financial distress, most of which was situated in the Eastern Cape and a large
number of these municipalities are situated in rural areas (Macanda, 2014, p. 27). In
2016 COGTA identified that at least a third of the municipalities which were
dysfunctional and financially unviable are situated in rural areas and depend on
grants and financial transfers from government to survive. It made the proposal that
district and local municipalities be amalgamated to ensure that the struggling
municipalities can become self-reliant. (Ncube & Monnakgotla, 2016, p. 75 – 76).
The question that must be answered is why do large backlogs specifically in relation
to basic service delivery in rural areas still exist in 2018, when government has
developed and implemented various policies aimed at addressing the challenges
33
municipalities experience in service delivery? In the past 20 years various policies
and initiatives have been conducted by government specifically to address service
delivery issues. A list of some of the policies and strategies which was developed
and implemented are shown below, however it seems that little progress has been
made in relation to service delivery in rural areas despite the implementation of these
policies and strategies:
Local Government Turnaround Strategy 2009
Operation Clean Audit of 2014 to 2019
New Economic Growth Path 2010
National Development Plan - 2030
Back to Basics - 2016
The following training programmes have been implemented:
the Local Government Support Programme,
Integrated Sustainable Rural Development Programme & the Urban Renewal
Programme, specialized training by professional institutes,
Project Consolidate including Siyenza-Manje
the Five year Local Government Strategic Agenda
When looking at the dynamics of rural areas and bearing in mind the historical
background relating to municipalities, the following factors influencing service
delivery stands out.
It is more expensive to render basic services in rural areas than in urban areas
as these areas consist of smaller populations.
The communities in rural areas are also located a great distance from each
other and there is a greater distance between villages and municipalities.
Spatial segregation is a challenge, it creates a physical separation of the people
from economic and social opportunities and it creates a larger divide in
economic activity.
It furthermore creates the challenge for municipalities to provide services in a
cost-effective manner and efficiently specifically in relation to service delivery
which requires infrastructure such as water and sanitation, electricity and
housing (National Council of Provinces, 2018).
34
The population density is also lower which affects the economies of scale and
people residing in rural areas are poorer than in urban areas, which affects the
income received by rural municipalities (Organisation for Economic Co-
Operation and Development, 2018).
In many instances a higher cost are weighted against the small share of the
total population, and in many instances the overall costs are too great to benefit
only a small share of the total population (Organisation for Economic Co-
Operation and Development, 2018).
The fact remains that historically prior to 1994, municipalities situated in areas
predominantly occupied by black people had no support from National or
Provincial government and as a result they were unable to build institutional
foundations and infrastructure within those areas.
To date local governments have not yet managed to overcome these
challenges and to correct the wrongs of the past.
2.5 CHALLENGES OF LOCAL MUNICIPALITIES IN SERVICE DELIVERY AND
THE FACTORS WHICH NEGATIVELY INFLUENCE SERVICE DELIVERY
Various challenges exist within municipalities which lead to local municipalities failing
to render basic municipal services effectively. These challenges include poor
leadership and political interference, poor governance, insufficient intergovernmental
relationships between the different spheres of government, the financial
management of municipality’s impoverished communities, and the fact that fraud and
corruption occurs resulting in insufficient funds to eradicate backlogs and render
basic services to the communities (Meyer & Venter, 2014, p.84-85) Local
government also experience capacity constraints in relation to planning, managing
and implementing policies (Odaro, 2012, p. 37-38). In many instances there are also
insufficient financial resources to pay for infrastructure development and installation.
There is therefore a clear interdependence between the independent variables
mentioned above and the failure of municipalities to render services effectively and
efficiently to the communities.
35
2.5.1 Poor leadership and political interference
The causes of failure of municipalities to render services to its community can be
attributed almost in its entirety to poor leadership and political interference in the
administration of municipalities (Pretorius, 2017, p. 233). The question that arises is
what good leadership is? The research opines that a good leader is ethical and
creates an ethical environment. An ethical leader influences his employees and
related parties in such a manner that an ethical organisational culture is created.
Ethical leadership entails that a leader must practice ethics and a high level of
professionalism in all his/her dealings and his/her conduct and must at all times
place the interest of the municipal institution and its community above his/her own
self-interest (Pretorius, 2017, p. 179 - 184). One of the greatest challenges which are
experienced within local government, specifically the top structures of municipalities
is the lack of ethical leadership. A report by the South African Institute of Race
Relations stipulated that 90% of municipalities are dysfunctional as a result of poor
leadership and political interference (Alexander & Kane-Berman, 2014, p. 29).
Politics will unfortunately play a substantial role in municipal service delivery. In order
to achieve enhanced municipal service delivery good local governance is required
(Reddy, 2016, p. 4-7). A problem which exists is that officials employed at local
government level are often people who are accountable to a political party rather
than the communities within which they serve and which they are supposed to
develop (Booysen, 2012, p. 1-10). The concept of politicization of local government
has been identified as an element which brings about uneven or poor service
delivery within local government. It creates opportunities for corruption and this
ultimately impact negatively on service delivery (Reddy, 2016, p. 3-6). The effect of
political interference in the administrative decision-making also impacts on the
revenue collection and general finances of a municipality as well as their
procurement processes. The reality is that political office bearers are dependent on
voters and as a result they do not want to alienate such voters. (Local Government
Briefing, 2014, p. 18).
36
The post constitutional era has introduced an actively involved elected executive
mayor assisted by a mayoral committee, which is answerable only to that specific
municipal council. The effect thereof is that the officials burdened with the
administrational functions now are subordinate to political guidance. In terms of
legislation, change in the mayoral office is at the very least effected every 5 years
which brings with it probable regression in any sustainable progress that may have
been made on the service delivery front. This frequently gives rise to the dismissal of
senior administrative officials and they are then replaced with officials more aligned
with the political directive provided by the mayor and his new council. Effective
leadership compromised in these instances (Pretorius, 2017, p. 159-161).
The result of poor and unethical leadership is the creation of an unethical culture. As
a result a system is created in which political pressure results in the interference of
the municipal administration as well as the day to day running of municipalities.
Nepotism also frequently occurs in government (Mmela, 2017, p. 54-55). Municipal
functionaries are often appointed on the basis of political patronage and often they
are not qualified for the position they are appointed in. These appointments place a
constraint on the effectiveness of local government’s performance, specifically in
relation to service delivery (Reddy, 2016, p.5). A report issued by the Public Service
Commission during 2014, “State of Human Resources Grievances and Discipline
Management in the Public Service” found that there was instances where the
Ministers and various members of the executive committees had interfered with the
appointment of municipal functionaries and disciplinary processes which was taken
against municipal employees (Pretorius, 2017, p. 84). It is imperative that when
political parties, indirectly though municipal council which they control, employs
municipal functionaries, these functionaries must have the necessary qualifications
and skills, but should also have passion, commitment, competence, and ethical
leadership which will enable them to implement policies relative to service delivery
and which will enhance the economic development in their area of jurisdiction
(Reddy, 2016, p. 4) Supply chain procedures are frequently abused by municipal
employees for their own gain or for that of family members or friends. This occurs
when municipal employees and functionaries create opportunities wherein they
provide contracts for municipal goods and services to family members and this leads
37
to self-enrichment (Zybrands, 2012, p. 80-100). Mismanagement, maladministration
and corruption frequently occur within municipalities and this makes it even more
difficult for government to accelerate the delivery of services to communities
(Tirivangasi, Mugambiwa, Mutyenyoa, & Rankoana, 2017, p. 16-17). The fact that
there are a low or almost no accountability for municipal employees in relation to the
failure of local government to provide service delivery are a main reason why
corruption, nepotism and over spending occurs (Odaro, 2012, p.36). In an effort to
improve governance, focus is placed on the legal and judicial system, the
enhancement of service delivery, financial management and public spending, efforts
to control: corruption and to facilitate the role of local government in economic
development through policy making processes. In order to improve on governance
there should be a link between the budget and poverty reduction strategies with a
monitoring system attached to it to ensure that the data collected is correct (Kessy &
Tostensen, 2008).
Various government initiatives, legislative and policy frameworks have been put in
place over the past 24 years, however for it to work, sufficient human skills and
knowledge as well as financial resources is required. Leaders must also understand
that their engagement with the external environment is imperative to good service
delivery. Local communities must be engaged, their needs must be assessed and
the change in such external environment which includes demographic and
technological changes must be taken into account (Ngqushwa Local Municipality,
2018). Political interference accompanied by poor leadership therefore creates a
breakdown in relationships of councillors and the management of municipalities,
specifically from different political parties, creating political bias. It furthermore
creates an environment in which there is a lack of ambition to serve the community,
creates a resistance to change and results in a failure to plan strategically and to
prioritise (Pretorius, 2017, p 190:195). Poor leadership effectively also creates a
lack of accountability for poor performance (Ngqushwa Local Municipality, 2018).
In terms of The 80/20 Report which was published in 2014 by the Institute of Race
Relations the NDP admitted that political interference and appointments have
caused great turbulence in government. (Alexander & Kane-Berman, 2014, p. 16) It
38
has furthermore undermined the morale of public servants and as a result citizens
have lost their confidence in the government (John Kane-Berman, 2013).
2.5.2 Financial Resources and the role of Municipal Managers
The most important factor specifically for rural municipalities is the fact that they
require financial resources for infrastructure development and implementation as
well as for service delivery. Sources of municipality’s revenue consist of the
following:
Property rates and taxes
Surcharges for services rendered such as waste removal, electricity, water
sanitation and the use of municipal facilities, i.e. sport grounds, buildings etc.
Grants through the annual Division of Revenue Act (DoRA)
National Transfers
Section 11(3)(i) of the Municipal Systems Act provides for the funding of a local
municipality to be received from “imposing and recovering rates, taxes, levies,
duties, service fees and surcharges on fees, including setting and implementing
tariff, rates and tax and debt collection policies”. Allocations of funds can also be
made from other spheres of government.
Poor and rural municipalities do not generate sufficient revenue through their own
revenue streams to cater for the demands of its communities and as a result are
under pressure to render services which are not budgeted for. In many instances the
municipality must render services to communities at a subsidized cost. Many of
these municipalities receive most of their revenue from grants through the annual
Division of Revenue Act (DoRA). Larger portions of the available equitable share
allocated through the annual DoRA are allocated to rural and poorer municipalities.
(Thornhill & Coetzee, South African municipal government and administration, 2014)
The poorer and more rural municipalities also rely heavily on national transfers
through various forms of grants since they have significant lower tax bases than
large cities (Thornhill & Oosthuizen, 2017). These transfers are mainly in the form of
unconditional grants or infrastructure conditional grants. The purpose of such grants
39
is to support municipalities to eradicate service delivery backlogs and to assist with
local economic development (Mahabir & Mabena, 2015). During 2004 the initiation of
Project Consolidate provided support in the form of Municipal Infrastructure Grants to
low-capacity municipalities amounting to billions of rands (Koma, 2010, p. 112).
It has been shown in previous case studies conducted in rural areas that the
residents are either unwilling to pay or cannot afford to pay for services rendered to
them, which impacts its revenue collection. In terms of research by Ncube et al
(2013) rural municipalities in South Africa has the highest proportion in relation to
salary relative to operating costs of municipalities (Ncube, Peters, & Mahabir, 2013).
When there is no money available for the installation of infrastructure to deliver
services to a rural community it is inevitable that service delivery will not improve and
the local government will ultimately fail. The demands for basic services are
dependent on the number of households within an area as well as on the income
distribution of the households. In poorer more rural municipalities there are larger
backlogs in service delivery, as the resident does not have the ability to pay for
services and therefore the municipalities do not have the ability to deliver those
services (Statistics South Africa, 2016).
According to research conducted by Nolitha Tshefu, during 2014, the Amathole
District Municipality economic profile was as follows: “41.8 % of the population is
unemployed, while 71.8% is dependent either on the working population or is grant
dependent. In relation to poverty, 59% of the population is earning under R 1600.00
per month. Only 41% of the Amathole District Municipality population has completed
matric or higher qualifications” (Tshefu, 2014). In many instances the local
communities of municipalities where rates and taxes and other charges are payable,
fail to pay the set rates and tariffs which results in large debtors books which needs
to be recovered (Thornhill & Oosthuizen, 2017). The Municipal Finance Management
Act 56 of 2003 regulates the financial affairs of municipalities and other institutions in
the local sphere of government to ensure sound and sustainable management.
According to the Municipal Finance Management Act municipalities must ensure that
their resources are used effectively, efficiently and economically to the advantage of
their communities. Local Government has an obligation to provide basic services to
40
all its residents and to spend money they receive in respect of these services in a
responsible manner, providing value to citizens and to account on all moneys spend
(Mofolo, 2012, p. 26).
As financial resources are the key to service delivery, it is imperative that
municipalities must practice good financial management. One of the greatest
concerns with regards to municipalities are the fact that they are associated with the
worst forms of financial management due to corruption, nepotism, the misuse of
funds and the non-compliance with procurement policies and legislation (Nontlantla,
et al., 2010). In terms of a statement by the Auditor General in the Local Government
Briefing (2016:12) it was reported that the financial health of 92% of the country’s
municipalities causes concern or requires intervention. This trend undermines the
future sustainability of municipality’s service delivery. The report furthermore stated
that 26% of municipalities, which remained unnamed, would be capable of
continuing as going concerns. (Local Government Briefing 2016b) The report
indicates that irregular expenditure has doubled from 2010/2011 to 2014/2015 as a
result of non-compliance with supply chain management and at the time it amounted
to R R14.75 billion. A similar situation occurred with regard to fruitless and wasteful
expenditure which increased by a billion rand. Unauthorised expenditure increased
as a result of overspending and disregard of the municipal budgets from R 5 billion to
R15.32 billion. (Kroukamp, 2016, p. 38)
Contrary to what is expected in the private sector of a financial manager, in the
public sector a municipal manager does not require a qualification in law, accounting,
finance or public administration. This clearly has a negative impact on the
performance of municipalities as most senior officials within municipalities must
provide the mayoral committees and executive officials and mayors with their
opinions and provide them with direction (Macanda, 2014, p. 26). In 2007 a report
was published by the Local Government Sector Education and Training authority
which confirmed that 28% of chief financial officer did not hold a qualification relating
to finance and only 31% of municipal managers employed at the time had
qualifications related to finance, law, public administration planning and
development. 35% of technical managers did not have engineering qualifications
41
(Ramutsheli & Janse van Rensburg, 2015). Therefore the shortage of skill and weak
leadership in relation to strategic management and corporate governance has a
negative impact on the performance of municipalities (Kanyane, 2006, p. 58-59;
Koma, 2010, p 115). In order to succeed in service delivery and for municipalities to
effectively render service delivery to its communities, it requires sound appropriate
strategies to be put in place in municipalities (Koma, 2010, p 116). It has been
shown in studies by De La Fuente and Estache (2004, p. 5) that there is a strong
relationship between basic infrastructure and growth and that in developing countries
basic infrastructure positively influenced productivity and growth (Gnade, 2012; De
La Fuente & Estache, 2004, p. 5).
In 2008 sixty percent of the 283 municipalities could not give evidence to account of
the revenue they received. This was as a result of weak budgeting, accounting,
credit control and financial reporting systems (Nombembe, 2008). Service delivery
risks also include inadequate human resources, underpaid staff and strikes by
employees, services which are contracted and not paid for and the repairs and
maintenance which places revenues at risks (Kroukamp, 2016, p. 110). Rural
municipalities lose skilled professionals who would rather relocate to better
resourced urban municipalities which affects the capacity of a municipality to render
effective services. (Makale, 2015, p. 5)
2.5.2.1 Role and Responsibility of a Municipal Manager
The most important official in relation to the financial resources, reporting thereon
and strategic planning is the municipal accounting officer which is known as the
municipal manager. Chapter 8 of the Municipal Finance Management Act 56 of
2003 (MFMA) set out the responsibilities of municipal officials. It however only deals
with the role and responsibilities of the municipal manager. Section 62 of the MFMA
sets out the general financial management functions of a municipal manager as
follows:
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A municipal manager must take all reasonable steps to ensure:
“that the resources thereof are used efficiently, effectively and economically;
that all the records of the financial affairs are kept in accordance with the
prescribed norms and standards;
that the municipality has and maintains effective, efficient and transparent
system of financial and risk management and internal control and of internal
auditing operating in accordance with any prescribed norms and standards;
that unauthorised, irregular or fruitless and wasteful expenditure and other los
ses are prevented;
that disciplinary or, when appropriate, criminal proceedings are instituted
against any official of the municipality who has allegedly committed an act of
financial misconduct or an offence in terms of Chapter 15; and
that the municipality has and implements;
a tariff policy referred to in section 74 of the Municipal Systems Act;
a rates policy as may be required in terms of any applicable national
legislation
a credit control and debt collection policy referred to in section 96(b) of
the municipal system act
a supply chain management policy in terms of Chapter 11;”
As can be seen from the above a municipal manager is responsible to establish and
maintain a strategic management system and to ensure that such system assists in
achieving the strategic objectives of the municipality in relation to efficient and
effective service delivery, the implementation of the IDP and the execution thereof.
In terms of Section 64 of the MFMA a municipal manager is responsible for the
revenue management of a municipality and in terms of section 65 it is responsible for
the expenditure management. A municipal manager’s role extends further than just
merely managing the finances of a municipality. A municipal manager plays a role in
governance as well and must maintain an effective system of expenditure control of
financial risk management, which include internal control and internal audit
procedures which is implemented in accordance with any prescribed norms and
standards. A municipal manager plays an important role in promoting an ethical
43
climate within a municipality as he/she must report any fruitless, wasteful and
irregular spending. In terms of section 32(4) of the MFMA prevent unauthorised,
irregular or fruitless and wasteful expenditure as well as other losses and where it is
found that such losses have occurred, he/she must institute disciplinary and where
appropriate criminal proceedings against a municipal official who committed an act of
financial misconduct as defined in Chapter 15 of the MFMA.
Section 54A of the Local Government: Municipal Systems Act, 2000, provides for the
appointment of municipal managers and acting municipal managers by the municipal
council. There is a lack of separation of powers between the legislative and
executive branches in local authorities and both these functions vest in the municipal
council.
Most municipalities operate on an executive mayoral system which entails that a
council elects a mayor who exercises all executive authority. The executive mayor in
turn will appoint a mayoral committee to assist him or her. It is indeed this mayoral
committee or council which elects the municipal manager and by an ordinary
majority vote of all councillors elected, can also terminate the services of such
municipal manager should they deem it fit. This creates a situation, where the
council, and in particular the executive mayor can easily manipulate or interfere with
the administrative tasks of municipal managers who wish to hold on to their positions
or status in the political party. It is often found that once a new mayor and executive
committee is appointed, the municipal manager is replaced by a person affiliated to
the mayor and council.
What creates difficulties for a municipal manager to ensure that they comply with
their responsibilities is the fact that:
Council is politically affiliated and this can cause political interference.
Change in council may result in a change in the municipal manager.
Council who is mostly responsible for corruption and nepotism can terminate the
municipal manager employment.
44
As an municipal manager is only appointed for 5 years difficulties to strategic
continuity;
As the municipal manager is the gatekeeper in relation to the finances of a
municipality and must ensure that no fraud and corruption occurs, it is of utmost
importance that the municipal manager be protected against political interference.
2.5.3 Intergovernmental relations
The three spheres of government being national, provincial and local are distinct
from each other. However they remain interdependent and inter-related. In terms of
section 41(1)(h)(ii)(iv) of the Constitution (1996) it demands that all three spheres of
government must co-operate with each other and in particular provide support to
each other. It furthermore imposes a duty on the three spheres to co-ordinate their
actions and legislation with one another. In general terms national government is
responsible for the setting of national strategies and policies whilst provincial
government remains responsible to ensure that local government has the necessary
resources to ultimately provide the services required to give effect to the national
framework legislation strategies and policies (Government of the Republic of South
Africa and Others v Grootboom and Others, 2000).
Intergovernmental relationships therefore refer to the interaction between the three
spheres of government, being the local, provincial and national government. Pre-
Constitution the local government was merely an arm of provincial and national
government and post-Constitution it is regarded in its own right with its own functions
and powers. In terms of Constitution the three spheres of government are distinctive,
interdependent and interrelated. Each sphere of government therefore has its own
unique area of functional competency but it must co-exist, co-operate and
acknowledge each other’s area of jurisdiction whilst maintaining co-operative
governance and intergovernmental relationships between them. As several of the
functions of local government are interlinked to functions of national and provincial
government, it is imperative that proper intergovernmental communication must exist
45
between the different spheres of government. (Makale, 2015, p. 6) The
Intergovernmental Framework Act of 13 of 2005 was enacted to specifically assist
herewith. The three spheres of government must co-ordinate their activities to such
an extent that their functions and policies overlap (Layman, 2003). Koma (2010, p.
116) confirms that Provincial governments as well as treasury should assume a
more strategic focus to support municipalities. It should provide training programmes
in financial and supply chain management and assist with setting up performance
management systems to assist with the development and implementation of
Integrated Development Plans (Koma, 2010, p 114-116). The same should apply to
Municipal Turnaround Strategies.
Intergovernmental relations plays a significant role in service delivery and the
pertinent question is whether or not the provincial and national government do
provide sufficient assistance to the local municipalities in relation to service delivery.
In terms of the “Implementation Plan: Local Government Turnaround Strategy 2010”
all spheres of government was to be involved in the implementation process of the
Strategy.
“Implementation of the Local Government Turnaround Strategy will be guided
through the intergovernmental system of political management provided for by
Cabinet meetings, MinMecs, Premiers‟ and District Intergovernmental Forums
and MuniMecs. National Ministers may also be identified as Provincial
Champions of the Local Government Turnaround Strategy. The national and
provincial sector departments will also utilise the cluster system approach for
coordination and dialogue on the Local Government Turnaround Strategy
implementation. This new cluster structure will also direct the MTSF lead
outcomes for government to which the Local Government Turnaround Strategy
must be aligned.
Political parties will promote and enhance the institutional integrity of
municipalities by ensuring that:
a) Political management does not destabilize and place inappropriate pressure
on councils and administration;
46
b) Political office bearers deployed in municipalities are well trained, inducted
and have the capacity and integrity to provide leadership in the best interest of
communities
c) A performance management system for Councillors is established and
managed d) Councillors are responsive and accountable to communities”
It is imperative to assess if the local rural municipalities are indeed being assisted
by national and provincial spheres of government as required by legislation. Prior to
the implementation of the Local Government Turnaround Strategy in 2009 the White
Paper on Local Government was published in 1998 which stipulated that
municipalities must act more strategically by focussing on community based goals.
The integrated development plans are to set out these goals and prioritise the
needs of the community and it must set development projects to monitor progress
within communities.
2.6 STRATEGIC PLANNING & IMPLEMENTATION OF POLICIES
Various mechanism, policies and frameworks have been introduced to government
over the past 24 years, however it is clear from the statistical data available, that
these policies have not made a significant difference in specifically service delivery in
rural areas and it has failed to alleviate socio-economic problems in specifically rural
areas. (Koma, 2010, p. 111-118)
Although most of these policies have all the elements to be successful, it has not yet
achieved success. The question that must be answered is why after 24 years of
democracy in South Africa have local government failed so many South African
citizens in not providing them with basic services? The next question that must be
answered is whether these policies were implemented properly and whether local
authorities are geared to implement these policies? Before and after 1994 various
large-scale infrastructure programs have been implemented in South Africa and the
goal was to improve the living conditions of the poor by providing them with access
to infrastructure. According to Quainoo (2010), there was no consistent performance
by local government and in many instances projects failed to achieve the intended
47
targets and objectives (Quainoo, 2010). The research will assess what is required by
municipalities to plan strategically and implement policies.
A large part of the municipal planning resolves around complicated legislation, such
as The Constitution, The Municipal Systems Act, The Municipal Structures Act, The
Municipal Finance Management Act, The Demarcation Act and Intergovernmental
Framework Relations Act to mention only a few. As a result of the onerous legal
framework set in terms of legislation it can become complex when leaders want to
plan strategically and the question that must be answered is if municipalities in rural
areas are equipped with the necessary resources to plan strategically. Strategic
planning and management entails that an organisation must adapt to change and
transform the organisations vision and mission as well as its goals. It entails a
complete transformation by everyone involved. (Xuba, 2015) The State of Local
Government Report (2016) confirms that in order to increase the efficiency of service
delivery, proper co-ordination is required for policy, budgeting, planning,
implementation and reporting between the three different spheres of government.
Strategic planning is important for any organization, both public and private entities,
to be successful.
The Policy and Strategy Implementation in Local Government: A toolkit for local
authorities to ensure better policy implementation and service delivery, which was
developed in terms of a partnership between the Nelson Mandela Bay Municipality
and the City of Gothenburg (Sweden) aims at closing the gap between policy and
implementation in local government. (Nelson Mandela Bay Municipality and City of
Gothenburg (Sweden), 2016) In terms of this policy and strategy implementation, the
following guidelines must be followed to close the gap between policy and
implementation of strategies in local government;-
a vision of what it wants to achieve;
the necessary knowledge and skills which will enable them to achieve this
vision;
incentives for both the municipality as well as its employees and the
community;
48
the correct resources to achieve the vision which includes funding, human
resources, assistance and training;
Lastly an action plan in the form of effective systems, methods and procedure
to be followed as this will provide them with the necessary guidance in the
implementation of the strategy.
Sufficient human resources with the necessary knowledge and skills are required.
There must be sufficient incentives for such officials to perform at their peak at all
times. This however will not be enough for any organisation to succeed as it also
requires resources to enable the employees with the necessary skill and knowledge
to successfully implement any strategic plan which was put in place. In addition to
officials with the necessary knowledge and skills required to give effect to strategies,
municipalities require financial and technical resources to enable those employees to
implement the plan, policy or strategy.
2.7 REPORTS ON MUNICIPAL SERVICE DELIVERY
2.7.1 State of Local Government in South Africa: Overview Report (2009)
The report set out the following data in respect of progress which has been made in
relation to service delivery during the period of 2001 to 2007;
Access to electricity increased by 10%;
Access to flush toilets increased by 6%;
Access to water increased by 4%;
The report identified the following problem areas in relation to service delivery
specifically in rural areas as follow:
Infrastructure backlogs in rural municipalities and requires funding and delivery
capacity requirements to be addressed;
Greater co-ordination amongst all government departments is required.
Alignment across all spheres of government is needed as the Integrated
Development Plans rarely gets intergovernmental attention or resources, which
contribute to its failure;
49
Integrated Development Plans fail as it often includes items for which no funding
is available and as municipalities do not have to account to communities on the
IDP’s, there is a lack of accountability.
Poor financial management in municipalities and the lack of controls and
accountability has a negative impact on service delivery.
The following factors which contribute to the failure of municipalities were identified
in the report;
The practice utilised by municipal employees does not match the policy intent;
There was a lack of understanding of the role of a municipality and its needs
to fulfil such role;
There was a weak support of local government by both provincial and national
government as well as a lack of oversight.
There was a lack of understanding that each municipality are different and this
was not adequately defined or addressed. (Hughes, 2009)
Government realised that each municipality has its own difficulties, both in its internal
as well as in its external environment. As a result the Local Government Turnaround
Strategy (2009) was developed and published. It provided each municipality with the
authority to reflect on its own performance, to embark on setting its own powers and
functions within the existing legislative framework, develop its own corporate
services, technical services and financial management functions. (Report on the
State of Local Government in South Africa, 2009) Rural municipalities specifically
had to be released from the complexities of compliance with the integrated
development plans which exceeded its capacity. (Koma, 2010, p. 118)
2.7.2 Twenty Year Review - Background Paper: Local Government
In 2014 the Twenty Year Review was published. In terms of this report it was found
that that the vision set out in the White Paper on Local Government (1998) could not
be implemented. The fact is that the local government model is advanced,
progressive and transformation creates implementation problems. (Twenty Year
Review on Local Government, 2014) There is also the lack of capacity and inability
50
to raise funds, inadequate intergovernmental transfers and the complexity of the two
tier government of district and local municipalities which creates problems. To top it
all off the continued undue political interference in municipalities and corruption
creates even more problems. (Tshefu, 2014)
2.7.3 LOCAL GOVERNMENT TURNAROUND STRATEGY
Although legislation was put in place to ensure service delivery the fact that
government was slow to implement the legislative objectives and provide basic
services in communities post 1994, protest actions erupted by disgruntled citizens.
These protest actions escalated and became more frequent and more serious from
2004. A contributing factor which enticed the public to protest are the fact that during
election campaigns various political parties created false expectations of service
delivery which will be provided to communities should they be elected. (Tirivangasi,
Mugambiwa, Mutyenyoa, & Rankoana, 2017; COGTA, 2009, p. 16-17). Due to the
fact that protest actions escalated various assessments was conducted by the
Department of Cooperative Governance specifically in relation to the lack of service
delivery and municipality’s poor performance in relation thereto (Meyer & Venter,
2014, p. 85; Mofolo, 2012, p. 25). As a result of the fact that local government was
unable to perform their duties and functions as set out in the Constitution and was
unable to fulfil promises made to their communities, citizens lost their faith and
confidence in local government. (Hughes, 2009) In an attempt to restore the
confidence of the people in the local sphere of government, Jakoet-Salie attended to
an assessment of 283 municipalities with the main purpose to establish the root
causes for poor performance, distress or dysfunctional municipalities. From these
assessments, the consolidated State of Local Government Report, 2009, was
compiled (http://www.info.gov.za). The LGTAS identified the rendering of basic
services to communities in municipal areas as well as the growth of such
communities as one of the main problems in municipalities.
The Local Government Turnaround Strategy (LGTS) following the analysis of the
results of these assessments and developed the framework known as the LGTS.
The LGTS was therefore developed as a result of the investigations which were
51
conducted in terms of recommendations that were made in the report known as “The
State of Local Government in South Africa (2009)” (Mofolo, 2012, p. 25).
Government initiated the LGTS early 2009 and the policy was approved by the
Cabinet on the 2nd of December 2009. The LGTS was implemented to assist
municipalities to achieve the duties imposed on them by the Constitution (Koma,
2010, p. 119).
According to CoGTA (2010a:3-4), the LGTAS has different focus areas: It firstly
focused on the immediate priorities which was to be achieved prior to the 2011
elections which consisted of various phases which were to commence on 31st
January 2010 and end on the 31st of March 2011. The phases consisted of first
establishing a pilot project for municipalities to develop a MTAS, thereafter the MTAS
was to be incorporated into their IDP, thirdly they had to approve a budget for the
implementation of the strategy (CoGTA (2010) a:3-4). The implementation priorities
included that the financial and administrative problems of municipalities must first be
resolved which included the promulgation of regulation to prevent indiscriminate
selection and dismissal of employees within the municipalities, effectively referring to
preventing political interference. Programmes were to be developed to promote a
transparent supply chain management system and to ensure that intergovernmental
relations be advanced. It provided the flexibility to municipalities to overcome the
“one size fits all” approach which was previously followed in developing strategies. It
accepts that each municipality faces different social and economic conditions and
has different performance levels and support needs. Therefore depending on the
municipality and its needs a more segmented and differentiated approach may be
required to address the challenges of such a municipality.
A main aim of the LGTS is to improve organizational and political performance of
municipalities. This will be done through the review of the vision of developmental
government to ensure that service delivery will improve and thereby also providing
for the social, economic and material needs of communities (http://www.foundation-
development-africa.org, Jakoet-Salie, 2014). The LGTAS has been developed to
eradicate the factors which are undermining local government and municipalities and
causing them to fail as well as to assist municipalities which have difficult social and
52
economic circumstances to manage. (http://www.info.gov.za). The LGTAS are based
on key assumptions such as the fact that local government is everyone’s business
and it requires public participation, it also accepts that local government is still a
relatively new system and as it is evolving problems will occur and must be dealt with
(http://www.info.gov.za).
According to Jakoet Salie (2014, p. 33) an ideal municipality would consist of the
following elements:
• Provide democratic and accountable government for local communities;
• Be responsive to the needs of the local community;
• Ensure the provision of services to communities in a sustainable manner;
• Promote social and economic development;
• Promote a safe and healthy environment;
• Encourage the involvement of communities and community organisations in
the matters of local government;
• Facilitate a culture of public service and accountability amongst its staff; and
• Assign clear responsibilities for the management and co-ordination of these
administrative units and mechanisms (http://www.info.gov.za).
According to Jakoet-Salie (2014, p. 49) the guidelines for LGTAS should include:
• The Turnaround Strategy should provide opportunities for all municipalities in
the country to reflect on their own performance and concentrate on removing
constraints.
• Each municipality should define its improvement areas in consultation with the
province. The critical thing is for there to be ownership by municipalities of the
process. It should not be compliance driven. The use of consultants in this
process is necessary.
The LGTAS has been distilled into a local government 10-point plan, which includes:
(http:www.info.gov.za)
53
• Improving the quantity and quality of basic services for all people in term of
water, sanitation, electricity, waste management, roads and disaster
management;
• Enhancing local job creation and sustainable livelihoods through LEDs, and
utilising cooperatives in every ward;
• Deepening democracy through a refined ward committee system that will be
based on the will of the people;
• Ensuring that municipalities have and implement reliable and credible
integrated development plans (IDPs);
• Building and strengthening the administrative, institutional and financial
capacity of municipalities;
• Creating a single window of coordination, support, monitoring and intervention
to deal with uncoordinated interaction by other spheres of government with
municipalities, including unfunded mandates;
• Rooting out corruption, nepotism and maladministration in the system of local
government;
• Developing a coherent and cohesive system of governance and a more
equitable intergovernmental fiscal system;
• Developing and strengthening a stable system of municipalities; and
• Restoring the institutional integrity of municipalities
The Local Government Turnaround Strategy set targets which were to be met by
2014:
Table 2.1 Minimum standard for basic services:
Sector Minimum standard 2014 target
Water All households to have access to at least clean piped water
200m from the household;
Sanitation All households to have access to at least ventilated pit latrine
on site
Electricity All households to be connected to national grid
Refuse Removal All households to have access to at least once-a-week
refuse removal services
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Housing All existing informal settlements to be formalised with land-
use plans for economic and social facilities and with
provision of permanent basic services
Other (education,
health, roads,
transport, sport and
recreation, street
trading, parks,
communitiy hall, etc)
Standards for access for all other social, government and
economic services must be clearly defined, planned and
where possible implemented by each sector working
together with muncipaloities in the development and
implementation of IDP’s.
Source, Vision 2014
In terms of the Local Government Turnaround Strategy “The root cause of much of
municipal failure has been determined as being due to:
a) Inappropriate national and provincial government policies, practices and
onerous requirements;
b) Socio-economic conditions prevailing in many municipalities which has not
been adequately addressed through macro, micro-economic and industrial
policies and plans of the State;
c) Political parties that are undermining the integrity and functioning of municipal
councils through intra and inter-party conflicts and inappropriate interference
in councils and administration;
d) A breakdown of values at a societal level that is breeding unethical behaviour,
corruption culture of non-payment and lack of accountability;
e) Communities that are negating in destructive forms of protests including
withholding of payment for local taxes and services;
f) Those municipalities that are not geared for delivering basic services and are
not responsive and accountable enough to residents; including to failure to
involve communities in their own development;
g) Absence of communications resources (people, technology, equipment
processes) and no accountability for how and when municipalities
communicate to communities.
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Figure 2.1 (IDP Plan Ngqushwa Local Municipality)
Source: Local Government Turnaround Strategy: Municipal Guidelines, January
2010
It set out five strategic objectives to guide the Local Government Turnaround
Strategies interventions and support framework.
“Ensure that municipalities meet the basic service delivery needs of
communities;
Build clean, effective, efficient responsive and accountable local government;
Improve performance and professionalism in municipalities;
Improve national and provincial policy oversight and support;
Strengthen partnerships between local government, communities and civil
society.”
The key interventions set out in the Strategy are as follows:
“National Government will organise itself better in relation to Local Government
Provinces will improve their support and oversight responsibilities over Local
Government;
Municipalities will reflect on their own performance and identify their own tailor
made turnaround strategies;
All three spheres of government will improve Inter-Governmental Relations in
practice;
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Political parties will promote and enhance the institutional integrity of
municipalities;
A good citizenship campaign will be designed and launched at the core which is
Ubuntu;”
In terms of section 4 of the “Implementation Plan: Local Government Turnaround
Strategy, 2010”, National Government undertook to organise itself better in relation
to local government. It undertook greater involvement in rural development,
assistance in integrated development plans as well as the implantation of such
plans. In terms of the Local Government Turnaround Strategy its main purpose is to
create stability within local government and to assist in putting municipalities back on
a path of responsive and accountable service delivery.
The strengths of the LGTAS as set out by Jakoet-Salie, (2014, p. 47) are as follows:
It recognises that a “one size fit all” approach are not realistic or desirable in
when dealing with different categories of municipalities;
It recognises the importance of intergovernmental relationships and proposes
support interventions between the spheres of government;
It aims for clean and effective government structures to be implemented;
It encourages public participation;
It aims to promote service delivery, financial viability, local economic
development as well as good governance;
It requires that partnerships between local government and communities as
well as civil society be strengthened;
It aims to eradicate backlogs in service delivery and promotes the facilitation
of local economic growth.
It encourages innovation and lateral thinking when dealing with challenges
within local government;
The weaknesses of the LGTAS which must be considered in developing and
implementing MTAS are as follow (Blake (2010); Jakoet-Salie, (2014, p 48).
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The implementation of the strategy will require a specific skill set which may not be
available at all municipalities. It will require resources, specifically financial resources
and employees with innovative thinking.
The MTAS will only be capable of successfully implementation if the top
structures of municipalities possess the required work ethics and good
leadership abilities as bureaucratic insecurity and the inexperience of many
public functionaries could pose a threat to the effective implementation.
Effective and efficient ward committees and community development workers
will be required;
Poor capacity enhancement programs and a lack of a dedicated resource
base will pose a threat to the successful implementation of a MTAS.
The LGTAS makes provision for each municipality to develop their own MTAS and to
do so in conjunction with their communities in such a manner that it is guided by the
LGTAS, its aims and its objectives. It must review the weaknesses in the specific
municipality’s policies, systems, structures and it must seek to improve these
weaknesses. The MTAS must be developed taking regard of the municipality’s
administrative capacity, the priorities identified, financial and administrative capacity
and whilst taking consideration of both national and provincial plans and policies.
Municipalities must ensure that they are aware of the abovementioned strengths and
weaknesses and identify the areas of concern within their municipality prior to the
implementation of the plan, as this will provide them with a more powerful position to
ensure that they cater for all areas of concern. (http://www.info.gov.za; Jakoet-Salie,
2014).
2.7.4 NGQUSHWA LOCAL MUNICIPALITY-SPECIFIC LGTAS GUIDELINES
The Ngqushwa Local Municipality has set the following aims and objectives in
respect of their turnaround strategy:
To ensure a fraud and corruption free municipality which practice good
governance and accountability;
A municipality which focus on service delivery and to universalise their service
delivery through all its communities;
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To address the socio economic challenges of the Ngqushwa Local
Municipality specifically unemployment and economic growth and to restore
the human dignity of all its people;
To focus on a joint intergovernmental approach;
Numerous programs were intended to enable municipalities to fulfil the ‘ideal’ for
local government as envisaged in the 1996 Constitution and the White Paper on
Local Government, 1998 (Jakoet-Salie, 2014). Ngqushwa Local Municipality in their
turnaround strategy are striving to contribute to building the Developmental State in
South Africa and draw from the constitutional and legal framework established
(Ngqushwa Local Municipality, 2017).
2.7.5 NGQUASHWA MUNICIPALITY TURNAROUND STRATEGY (NMTS)
The NMTS is based on the Batho Pele principles and the challenges within the area
are the fact that there are a high percentage of people who suffer from TB, HIV and
AIDS. There are not sufficient bucket systems or digester tanks and a lack of refuse
removal services leads to illegal dumping which poses health risks. There is
insufficient infrastructure for services to be delivered and intergovernmental co-
ordination across all spheres of government creates problems. (Adendorff, 2017)
The global economic crises also had impacts on the municipality’s revenue base as
the unemployment levels increased as a result thereof.
In order to address all these challenges the NMTS incorporated the following
elements:
• ANC Local Government Manifesto (2006);
• Annual and Oversight Reports;
• Biannual input from National Treasury;
• Constitutional mandate of South African Local Government;
• IDP/Budget consultations;
• Local Government Turnaround Strategy adopted by Cabinet on 3 December
2009; Ngqushwa Local Municipality ANC Region’s Operations Guqula;
• Management and audit reports from the Office of the Auditor-General;
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• Ngqushwa Local Municipality Management Reports;
• Ngqushwa Local Municipality Mayoral and Oversight Community Outreach
Reports;
• Ngqushwa Local Municipality Mayoral Committee Reports;
• Reports of Internal Audit Services; and
• Reports of the Audit Committee.
• Service Delivery Protests Reports;
• Standing Committee Retreats;
The abovementioned documents and processes were utilised to identify and
understand the challenges currently facing the Ngqushwa Local Municipality. These
documents and processes have also, therefore, provided a solid foundation for the
successful development of a Ngqushwa Local Municipality. The Ngqushwa Local
Municipality has selected a solution based turnaround strategy wherein they want to
deliver services as part of a developmental approach. For the strategy to be effective
sufficient revenue will be required and the challenge which Ngqushwa Local
Municipality faces are to generate such revenue.
The first turnaround strategy for Ngqushwa Local Municipality was published in
chapter 3 of their 2018/2019 IDP. The strategy itself identifies the following variables
to be of great importance for it to be successful:
Strong leadership which are respected;
Processes which prioritise effective strategic planning as well as recovery and
improvement processes;
There must be a clear understanding of the roles and lifespan of the strategy
with entry and exit criteria to ensure the problems have been properly solved;
Clear goals and milestones as well as effective communication between
departments and teams;
Monitoring of processes must be effective and must measure improvement
performance against targets which are set;
Strategies which are fit for its purpose and processes to successfully
implement the strategies; and
Effective financial allocation is required and must be controlled;
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The turnaround strategy is based on economic development and creating a
municipality which attract investments which will assist with funding the
development. Ngqushwa Turnaround Strategy is based on a theory of improvement
being an expert-led intervention. It has at its core the establishment of a special
purpose vehicle, the Programme Management Office (PMO) within the office of the
Municipal Manager. The office of a PMO has not yet been established. The objective
of the PMO is to design, plan and co-ordinate, implement and monitor projects aimed
at the economic development of specific industries. Individuals and experts from
various industries will set standards, create strategies, assess and monitor the
process of the programmes being implemented. Where change is required systems
and practices may be modified which will require staff within the municipality to be
willing to implement the change. The PMO office can source funding from private
institutions or investors which will assist with the creation of basic infrastructure
which is required for service delivery. This will enhance social, demographic and
geographic opportunities which are much needed within the municipality.
Ngqushwa Local Municipality consist of a poor and illiterate community and consists
of 97% rural population and are spatially divided. The villages are also not easily
accessible and there is a great need for economic development in the area.
Economic development will ensure that there is economic growth and an increase in
the GDP of the population within the area, which will in turn create a community
which can afford municipal services. The effect would be that the own income of the
municipality increase.
The PMO will be at the core of the turnaround strategy. It will be able to assist with
the monitoring of the progress being made on the turnaround strategy and if the
standards of local government service delivery are achieved. In instances where
there are no standards set and no policies exist it can assist with the setting of
policies and standards to be met. It can furthermore monitor the performance in
relation to service delivery and report thereon. A problem within rural areas is human
resources and staff with the necessary skills and expertise to implement strategic
decision. Rural areas do not attract or retain highly skilled individuals and as better
opportunities exist in the metropolitan areas. In many instances the top structures
61
within municipalities does not understand their performance problems and does not
have the required skill to address the problems and create solutions. In the even that
they do recognise a problem and that changes must be made, strong leadership is
required to ensure that the staff supports the changes within the municipality which
will ensure that there is an increase in service delivery. In many instances an office
of a PMO will be able to assist with this process of change.
The following areas where improvements are needed were identified in the
turnaround strategy:
Improvement of local governance, service delivery, public market confidence.
There is a lack of confidence in the municipality at present and a solution
suggested is to make services less supply driven and more responsive to
needs. Once this is solved it will also help to increase the investment flow into
the municipality
Spatial development analysis and planning exploiting the comparative. The
villages are situated far from one another and spatial development is required
to enable the municipality to render services to the communities. It is also
imperative for infrastructure development.
Funding is required for infrastructure development. Large areas within the
Ngqushwa Local Municipality there is no or limited capacity to contribute to
alleviate poverty and to solve the socio-economic challenges. Solution which
is suggested is to assist the people in these areas, community investment
programmes are required to systematically build up community confidence.
According to the LGTAS, one of the main aims of the Turnaround Strategy is that
Ngqushwa Local Municipality is to renew the vision of developmental local
government for its citizens. To achieve this, the LGTAS seeks to improve the
organisational and political performance of Ngqushwa Local Municipality and in turn
the improved delivery of services (http://www.info.gov.za). In light of the above
guidelines for municipality-specific LGTAS’s the Ngqushwa Local Municipality
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turnaround strategy is aimed at, “restoration of confidence in the Ngqushwa Local
Municipality as a primary service delivery arm of government that is effectively
addressing our community concerns” (http://www.thenewage.co.za).
2.8 THE STRATEGIC & ANNUAL PERFORMANCE PLAN
In 2016, The Strategic & Annual Performance Plan was published by SALGA for the
period 2017 – 2002. (SALGA, 2017)
The plan confirmed that politics does impact at a minimum the following
administrative aspects within a municipality:
“Development and implementation of a succession planning and retention
strategy to bring about stability and business continuity in a municipality as
some officials succumb to political pressure, resulting in the instability, erosion
of expertise, loss of institutional knowledge and business discontinuity;
Long-term planning, as immediate political interventions (electorate promises)
or high expectations compete with long-term transformation programmes;
Service delivery through political interference on the administrative and
executive leg in the municipalities;”
It is therefore evident that political interference is currently one of the root causes of
service delivery issues in local municipalities in South Africa.
2.9 CONCLUSION:
As can be seen from the abovementioned, political interference, a lack of financial
resources, poor leadership and ethics as well as poor intergovernmental
relationships are the root causes of the failure of service delivery in South Africa. A
contributing factor which plays a great role in specifically rural municipalities are the
fact that Pre-1994 under the apartheid government, no infrastructure development
was attended to in rural areas which was mainly occupied by blacks, Indians and
coloured people, therefore leaving the new government with pre-existing backlogs in
service delivery and infrastructure development. (Makale, 2015, p. 4) A
Constitutional duty is imposed on local government in respect of municipal service
63
delivery. To enable local government to comply with the Constitutional duty various
pieces of legislation were enacted in an attempt to create the necessary structures
for municipalities to ensure effective and efficient service delivery to all citizens of
South Africa, which included the Municipal Structures Act, the Municipal Systems
Act, the Municipal Financial Management Act as well as the Intergovernmental
Framework Act. After an in depth assessments of municipalities and in an attempt to
provide a solution to these root causes resulting in local governments failure to
deliver municipal services to communities and to regain the trust of communities, the
national government published the LGTAS (2009) and the Implementation Plan
(2010). The LGTAS allows municipalities to conduct an analysis of their strengths
and weaknesses and to develop a MTAS in accordance to the priorities and needs of
the municipality. It is however clear that subsequent to the LGTAS published in
2009, there has not been substantial progress in relation to service delivery and
infrastructure development in rural areas, this can mainly be attributed to the fact that
political interference exist and the lack of financial resources.
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CHAPTER 3
RESEARCH METHODOLOGY
3.1 INTRODUCTION
This chapter will describe the research methodology which has been adopted to
determine the challenges which exists in relation to the delivery of municipal services
and if the Local Government Turnaround Strategy could make a difference in
specifically municipal service delivery in rural municipalities, with the main focus on
the Ngqushwa Local Municipality.
Research is a systematic process to collect and analyse data to either answer a
question or to solve a problem. It is a process of enquiry and an investigation
conducted in a systematic and methodical manner to ultimately increase knowledge
on a specific topic. Research is classified according to the purpose, process, logic
and outcome thereof (Collis & Hussey, 2014, p. 3). The objectives of research are to
generate knowledge, investigate a solution or problem, construct new procedures or
explain a new phenomenon (Greener, 2008, p. 10; Rajaseka, Philominathan, &
Chinnathambi, 2013). Methodology is the approach which the researcher has
adopted in conducting the research and is the blue print to achieve the research
objectives and answer the research questions (Cooper & Schindler, 2014).
This chapter discuss the research paradigm and methodology which was adopted to
determine the challenges faced by municipalities in rendering basic services to their
communities, as well as the struggles with regard to the implementation of strategies
and policies such as the LGTS. The chapter will furthermore validate the chosen
research paradigm, that of a case study as the best approach to be used to achieve
the research objectives and answer the research questions.
3.2 CASE STUDY RESEARCH APPROACH
As explained above, the research methodology which will be used is a qualitative
research methodology in the form of a case study. According to Collin and Hussey
65
(2014, p. 68-69) a case study is used to explore a single phenomenon with a variety
of methods, in a natural setting to obtain information and knowledge (Collis &
Hussey, 2014, p. 68; Yin, 2011, p. 92; Babbie, 2012, p. 309-310; Babbie, 2011, p.
329-331). A case study focuses attention on single instance of some or other social
phenomenon (Collis & Hussey, 2014, p.68). The characteristic of a case study is the
limitation of attention to a particular instance of something. (Babbie, 2012, p.309-
311) The objective of a case study is to obtain multiple perspectives of a single case
which can be used to understand it better. It can take the form of exploratory,
descriptive or explanatory studies (Collis & Hussey, 2014; Baxter & Jack, 2008, p.
556). An explanatory case study method goes beyond merely describing the
phenomenon, it endeavours to explain the reasons for the phenomenon whereas a
descriptive study only observes, by using current theories to understand and explain
what is occurring (Baxter & Jack, 2008, p. 547). The research effort contains a
mixture of a descriptive as well as an explanatory case study as this method is the
most appropriate to achieve the research objectives.
According to Yin (2009, p. 18) a case study is an empirical inquiry with the following
characteristics:
“Investigates the contemporary phenomenon in depth and within its real-life
context, especially when the boundaries between phenomenon and context
are not clearly evident;
Copes with the technical distinctive situation in which there will be many more
variables of interest than data points;
Relies on multiple sources of evidence, with data needing to converge in a
triangulating fashion
Benefits from prior development of theoretical propositions to guide data
collection and analysis.” (Collis & Hussey, 2014, p. 68)
Case studies is a powerful research methodology that combines collecting and
analysing documents, public record analysis, and interviews with people and
observations. Data for this study is extracted from annual reports, newspaper
articles, and magazines as well as from direct observations and any other data
66
collection techniques that offers information about the case (Cooper & Schindler,
2014, p. 165-166; Greener, 2008, p. 21-22). Case study research allows for the
exploration and understanding of more intricate issues and is more prominent in
studies regarding education, sociology and community based problems (Zainal,
2007). Table 3.1 below identifies the relevant conditions for various research
methods.
Table 3.1: Relevant conditions for various research methods
Method Form of Research
Question
Requires control
of behavioural
Events
Focus on
Contemporary
Events.
Experiment How, why? Yes Yes
Survey Who, what, where,
how many, how much
No Yes
Archival
Analysis
Who, what, where,
how many, how
much?
No Yes/No
History How, why? No No
Case study How, why No Yes
Source (Yin, 2014)
The present research effort focus on a single case namely that of service delivery of
municipalities and to determine the root causes affecting service delivery in rural
areas. It furthermore assess the impact the municipal turnaround strategies (MTAS)
implemented in terms of the Local Government Turnaround Strategy (2009) and the
Implementation Plan (2010), has on municipal service delivery in specifically rural
areas.
The variables which contribute to the failure of rendering effective service delivery
are analysed as this will provide better insight into the problems which must be
corrected for the successful implementation of MTAS. An interview with the
municipal manager at the Ngqushwa Local Municipality will be conducted to assess
the challenges they experience in relation to service delivery and to determine what
67
is required to solve these problems with the use of MTAS. It is important to
understand the factors which influence the functioning of a rural municipality and
which create challenges for the management of a municipality to effectively render
services to its communities. Factors which are considered are the effective and
sufficient intergovernmental relations to ensure that local government are guided by
provincial and national departments, sufficient funding to build and develop
infrastructures to render effective and efficient service delivery in rural areas to all its
residents.
The following independent variables will have to be considered in assessing if the
Local Government Turnaround Strategy has made an impact on the service delivery
in rural municipalities:
Political interference causing an unethical culture;
Ethics
Financial resources;
Intergovernmental Relationships;
Local Government Turnaround Strategy;
3.3 CASE STUDY RESEARCH DESIGN
A qualitative research design have been utilised in this research effort. The
qualitative design helps in understanding the problem which exists and are
considered the blueprint for researchers in conducting their research process of
collecting and analysing data, the interpretation thereof and to ensure that the
research address the research problem. (Yin, 2011, p. 77-78) This helps in
generating information from the municipal manager of the Ngqushwa Local
Municipality as well as perusing and studying the relevant reports and
documentation in relation to the challenges experienced in municipal service delivery
and to determine what causes these challenges. Qualitative research is described by
Locke, Spirduso and Silverman (2007, p. 96) as the “systematic, empirical strategy
for answering questions about people in particular social context”.
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The research design also referred to as a conceptual framework in qualitative
research, can be defined as the framework which a researcher will utilise to guide
him in his process of conducting the research. (Baxter & Jack, 2008, p. 553)
Research design can also be seen as the plan which is used by a researcher to get
from the research questions to the conclusions. It links the data which are to be
collected to the research questions and to the conclusions of the study (Yin, 2011, p.
76).
According to Yin, the research design contains the following elements (Rowley,
2002, p. 19; Yin, 2009, p. 27):
The study or research questions;
The propositions;
The units of analysis;
The logical linking of the data to the proposition.
The criteria for interpreting the findings.
According to Stake (1995) in a case study design strategy a more flexible approach
is required as the course of the study cannot be determined in advance. According to
Baxter (2008) the research design framework should continue to develop as the
study progresses. The reason advanced for this is that the relationship been the
proposed constructs will continue to emerge as the data is analysed. (Baxter & Jack,
2008, p. 545)
In the present research effort a descriptive as well as explanatory case study are
used, this best explains the purpose of this research which is to determine the root
causes of the challenges experienced by municipalities in rural areas and how the
municipal turnaround strategies can assist to eliminate these challenges to ensure
that municipalities render effective and efficient services to its communities.
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3.3.1 Case study questions
To conduct good research a good set of questions is important. The research
questions must be linked to the research conclusions and this is guided by the
questions which are asked by the researcher. These questions can be revised as the
research effort proceeds. The questions will also guide the researcher in the
collection of data and what type of data to collect (Yin, 2011, p. 101). The case study
provided insight into service delivery in specifically a rural municipality, what
challenges they experience and the difference which MTAS can make in relation to
service delivery.
In order to address the research propositions contained in the case study, the
research questions as contained in chapter 1 above, supported by secondary
sources of information must be considered. An in depth literature review was
conducted as well as a semi-structured interview with the Municipal Manager of the
Ngqushwa Local Municipality. The answer to this interview questions are set out in
chapter 4 below. The reason for the interview with specifically the municipal manager
is due to the fact that this is the individual in the municipality who are responsible for
the development and implementation of the individual municipalities’ turnaround
strategy. One of the municipal managers many functions are to ensure the
municipality functions effective and efficiently and renders municipal services to all
its residents. The municipal manager therefore has first-hand experience of the
challenges which affects municipalities with regards to service delivery as well as the
implementation of municipal turnaround strategies.
The interview questions which were asked during the interview with the Municipal
Manager are listed below. The questions have been categorised according to the
variables listed in chapter one above, the numbering will therefore not be in
sequence.
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3.3.1.1 Dependable Variable – Service Delivery
1. Can you provide us with some general information on the Ngqushwa
Municipality?
2. Was there any substantial growth in service delivery for the period of 2011 to
2016?
12. Do you frequently have community protest actions in the municipal area and if
so, what is the course thereof?
16. How many of the municipal services are provided through internal systems and
how many are provided by external service providers?
19. What projects do you currently have in place in relation to Service Delivery?
24. How many employees are employed at Ngqushwa Local Municipality? Are they
all equipped with the necessary skills and knowledge to perform their work
efficiently?
35. What does the agreement with the Canadian Municipal Federation entail?
36. Has there been a positive impact from the Canadian Trade Agreement as yet
and how does it assist with the implementation of the turnaround strategy?
37. Are there any mega projects which are currently being implemented?
3.3.1.2 Independent Variable: P1 – Political Interference
10. In your opinion what are the major challenges which are experienced by
Ngqushwa Local Municipality?
28. Does the political (legislative) leadership have the potential to impact
performance in the administrative function within the Ngqushwa Local
Municipality and if it exist why does it interfere?
29. Are there any political or council interference on your procurement processes?
30. Do you have an internal audit system and is it effective?
31. Are there at present any internal and/or external investigations in relation to
fraud or mismanagement within the municipality?
32. What can be changed within local government to achieve effective service
delivery to rural areas?
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3.3.1.3 Independent Variable: P2 – Ethical Leadership
14. In terms of the Systems Act, municipal performance is deemed as crucial. What
systems does Ngqushwa have in place to monitor performance?
15. Do you have key performance indicators in place and if so, are they clearly
identified and communicated to all the interested parties.
18. Are resources effective and efficient prioritised in areas of urgency and where
most needed;
21. Does the availability of resources influence the management of service delivery
performance?
25. Do you have an Integrated Development Plan in place and has it been
successfully implemented?
26. Is it correct that the IDP is the vision of the municipality?
3.3.1.4 Independent Variable: P3 – Intergovernmental Relations
10. In your opinion what are the major challenges which are experienced by
Ngqushwa Local Municipality?
13. Does the Ngqushwa Local Municipality engage with the public and actively
pursue a public participation process?
17. Is any of the services provided by other municipalities or by the Amathole
District Municipality? And if so what is the pros and cons to each.
27. What is the municipal structure and how many committees and administrative
structures are in place and are they functional?
3.3.1.5 Independent Variable: P4 – Financial Resources
10. In your opinion what are the major challenges which are experienced by
Ngqushwa Local Municipality?
11. Are these challenges hampering the economic development and growth?
22. What are your sources of revenue for the year 2018 to 2019?
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23. What does the economy within Ngqushwa Local Municipality comprise of and
what is needed to grow the economy within Ngqushwa Local Municipality?
33. In terms of the Ngqushwa Local Municipality Turnaround Strategy a Project
Management Office (PMO) are to be established. Do you believe that the
proposed PMO will impact positively on service delivery within the area?
34. Do you have a local economic development programme and what does it
entail?
3.3.1.6 Independent Variable: P5 – Municipal Turnaround Strategy
3. When was the first Turnaround Strategy implemented in the Ngqushwa Local
Municipality?
4. What are the processes followed in the implementation of the turnaround
strategy?
5. Do you believe that the current strategy can be successfully implemented?
6. Do you see a political buy in with regard to the Turnaround Strategy?
7. What are the internal factors hampering the effective implementation of the
Turnaround Strategy?
8. What are the external factors hampering the effective implementation of the
Turnaround Strategy?
9. Has this strategy made a difference in the delivery of basic services in the
community?
20. How does your turnaround strategy complement the Vision 2057?
3.3.2 Case study propositions
The propositions contained in a case study guide the researcher and assist him/her
to limit the scope of the study. According to Baxter and Jack (2008, p. 551 - 552),
propositions can be obtained from various sources such as literature, personal and
professional experience, theories and other data. According to Cooper & Geurts
(2000), cases do not represent a sample, it rather generalise the theoretical
proposition and does not relate to populations. The proposition for this study is
contained in paragraph 1.8 above.
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The primary proposition of the case study was to determine the root causes of the
challenges experienced by local municipalities in relation to service delivery and how
these challenges can be solved with the use of a municipal turnaround strategy.
The secondary proposition of the case study was to determine what is required for a
municipal turnaround strategy to be successfully implemented to enhance service
delivery.
3.4 RESEARCH PARADIGM
Research paradigms address the philosophical dimensions of social sciences and it
can be explained as a set of primary assumptions and beliefs of how the world is
perceived. (Jonker & Pennink, 2010; Wahyuni, 2012) These perceptions serve as a
framework that guides the researcher in how the research is conducted.
Two research paradigms exists namely positivism and interpretivism. Positivism use
large samples and have an artificial location, it is concerned with hypothesis testing
and produces exact, objective data of a quantitative nature. The reliability of the
results is generally high with a low validity. In terms of the positivism paradigm,
social reality is a singular and it is an objective. It does not affect the act of
investigation (Collis & Hussey, 2014, p.43-44). Interpretivisim is concerned with
studies with smaller sample sizes which are set in a natural location. It is furthermore
concerned with generating theories and produces rich subjective qualitative data with
a high validity and a low reliability. It is based on the assumption that social reality is
born of the mind and it is subjective (Collis & Hussey, 2014, p. 44). Interpretivism
involves an inductive process with the purpose of developing an interpretive
argument of social phenomena within a particular context. (Collis and Hussey, 2014,
p. 45). The case study research approach is associated with the interpretivism
paradigm and therefore with qualitative research methodology. The research effort
which is used is an interpretivist paradigm as the purpose of the study is to
investigate the root causes relating to the failure of municipalities in rendering
services to communities through a case study method. The research is therefore
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qualitative in nature. Qualitative Research is an array of interpretive techniques
which describe, decode and translate to understand the meaning of certain
phenomena’s (Cooper & Schindler, 2014, p. 144).
The research effort which is conducted entails seeking answers to questions that
sought to explain the presumed causal links between the challenges experienced by
municipalities in service delivery and to determine if the interventions of MTAS can
make a significant difference in relation to service delivery in rural local
municipalities. This study is too complex for surveys or experimental strategies. The
research effort has therefore adopted a descriptive and explanatory case study
method, using a single case design incorporating a root cause analysis to analyse
the research question and research problem (Yin 2009, p. 6-7; Baxter & Jack, 2008,
p. 549-550). The researcher will collect the data through literature as well as reports,
public statistics and an interview with the municipal manager at the Ngqushwa Local
Municipality. The data will be analysed by the researcher using inductive reasoning
(Yilmaz, 2013). Under the interpretivism research paradigm the focus is on the depth
of the data collected as well as the quality thereof. The data which is collected under
this paradigm is normally rich in detail and the data credibility is of a very high
standard as the responses can be verified and transcribed. (Collis & Hussey, 2014,
p. 52). According to Cooper & Schindler (2009, p. 146-150) the interpretivist
research paradigm allows for exploratory research to be conducted by making use of
various methods such as observations, interviews and collection of data through
literature and other published work.
3.4.1 Root Cause Analysis
A root cause can be defined as “the deepest underlying cause, or causes of positive
or negative symptoms within any process that if dissolved, would result in elimination
or substantial reduction of a symptom” (Clark County School District (CCSD), 2012).
Root causes can occur at any level in an organization and rather to merely treat a
symptom of the problem, the root cause must be eliminated as this will ensure that
the problem are eliminated (Williams, 2001). It is common cause that underneath
every problem there is a reason or root cause for such a problem. A root cause
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analysis is used in the research effort to identify problems which occur within a
certain environment and which results in a specific consequence (Clark County
School District (CCSD), 2012). Only if a researcher is able to determine why a
specific event occurred, can a workable corrective measure or solution be proposed
to correct the behaviour or challenge which are researched. One of the major
advantages of a root cause analysis is that over time the root causes identified which
creates the challenges which occurred can be targeted and as a result have major
opportunities for improvement and possible elimination of the challenges.
What is a root cause? There are various definitions for a root cause and for the
present research the following definition will explain it the best. Root causes are
underlying causes of an observed problem and a researcher’s goal is to identify
specific underlying causes. Therefore in order to enhance municipal service delivery,
the underlying issues such as political interference, unethical culture within
municipalities, a lack of intergovernmental relationships and insufficient financial
resources must first be addressed and resolved to ensure that a MTAS can be
implemented successfully. The more specific the researcher is, the easier it will be to
make recommendations that will ensure the correction and future prevention of such
problem (Tomic & Brkic, 2011, p. 17). Root causes are therefore causes that can be
identified and corrected through the implementation of effective recommendations.
Root causes can be identified by focusing closely on performance related concerns
and when external reviews are done on an organization.
Various tools can be utilized for a root cause analysis such as multiple measures of
data, Improvement Flow Chart: Root Cause Analysis, Circle Map, Getting to Root
Causes – Why? Because Flow Map, Fishbone Sample/Explanation or a Fishbone
Template. In many instances brainstorming on the causes and the use of a fishbone
chart is helpful to identify root causes. When utilizing this tool, it is important to
characterise similar causes together and narrow explanations to those that are
actionable, which includes removing items outside of the organizations control (Clark
County School District (CCSD), 2012, p. 19, 25).
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For the present research effort a root cause analysis tool namely –Why? Because
Flow Map has been utilized to determine the root causes of the failure of
municipalities to deliver municipal services. It is important to verify the root causes
with multiple data sources (Clark County School District (CCSD), 2012, p. 19). After
a root cause analysis is performed a corrective action plan will be developed to
eliminate the causes of the challenges and to prevent it from reoccurring (Tomic &
Brkic, 2011, 18-20). It is of utmost importance to identify the reasons behind the
performance concerns and key strengths as it is necessary to map appropriate
solutions to the problems experienced. In the present instance the performance
concerns are that of poor service delivery in rural municipal areas which are mainly
located in areas which is historically disadvantaged and where the residents in the
areas have shown their dissatisfaction with the municipalities mainly in the form of
protest actions.
According to Tomic & Brkic (2011, p. 17) the steps that should be taken when
conducting a root cause analysis are as follow:
Data Collection is imperative to enable the researcher to understand the
problem and the causal factors which are associated with the problem to
enable the researcher to identify the causes of the problem.
To organise and arrange the data which has been collected causal factor
charting are used to set out the sequence of the events and conditions
surrounding the problem.
The researcher then identifies causal factors and why it exists thereby
determining the root causes of the problem.
Lastly the researcher will make recommendations of how to solve the problem
and to prevent its reoccurrence.
When is it a root cause? According to Ammerman (1997) three cirteria’s of root
causes exist, namely:
Would the problem have occurred if the cause did not exist?
Would the problem reoccur if as a result of the same cause if it is corrected?
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Will the correction lead to similar events? (Ammerman, 1997)
If the answer to the above 3 questions are no, then it is a root cause of the problem,
if the answer is yes, then it is merely a contributory cause. Other indicators of root
causes are when you run into dead ends asking what caused the root cause and if
the problem can be reduced or prevented in future if the cause is eliminated, if it can
be controlled and influenced, when everyone agree it is a root cause, and if the root
cause makes logical sense and provides clarity on the matter (Clark County School
District (CCSD), 2012, p. 19-24).
3.4.2 Unit of Analysis
The unit of analysis relates to how the initial proposed research question is defined
(Yin, 2003, p. 47). The process to determine the units of analysis is a challenging
task for the researcher (Baxter & Jack, 2008, p. 550). The researcher will adopt a
single holistic case study as it will only assess one municipality being the Ngqushwa
Local Municipality. The research will comprise of an interview with the municipal
manager of the Ngqushwa Local Municipality as well as an extensive review of
literature and published statistics and reports. The process which a researcher
adopts determines the units of analysis and determines whether it will be a single
case study or a multiple case study. The researcher will thereafter determine the
design of the case study which can be either a holistic view alternatively embedded
units of analysis. The research effort utilised was based on a single case with a
holistic view.
3.4.2.1 Validity
Validity has been described to measures the relevance, precision and accuracy of
the research. It articulates whether the research instrument measures what it was
intended to measure and determines if the measurement was correct and precise.
Validity refers to the credibility or trustworthiness of the study. To ensure the validity
of a study the data which are being analysed must be credible, plausible and
trustworthy. (Venkatesh, S.A., & Bala, 2014). When conducting qualitative research,
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the aim of achieving validity is considered the strength of the research as it
eliminates interference and fault from data and it becomes free of manipulation.
Internal validity entail that a causal relationship which exists as well as underlying
patterns between the units of analysis in the case study of both similarities and
differences found in the case study. (Baskarada, 2014, p. 8-9; Rowley, 2002, p. 21) It
entails that the data which has been collected can be used to draw accurate
conclusions from analysing it (Leedy & Ormrod, 2005). According to Baskarada
(2014, p. 8) pattern matching can be used to enhance internal validity. Pattern
matching is used to interpret case study findings and entails that logic is used to
compare empirically based patterns, which entails the gathering of information from
secondary data as well as interviews, with a predicted pattern. In the event that
these two patterns seem similar this can strengthen the validity of the research. (Yin,
2014). Pattern matching is limited to testing propositions. (Hak and Dul, 2009, p. 6;
Yin, 2014).
The researcher has used pattern matching to enhance internal validity which entails
qualitative but logical deductions which can be made against a predicted pattern.
External validity requires that the findings can be generalised beyond the specific
case study and that the logic which was used can be replicated and used in other
cases or in practice (Yin 2009; Rowley, 2002, p. 21; Baskarada, 2014, p. 8).
Construct Validity entails that the researcher must correctly measure the concepts
that are being studied and require confirmation thereof. According to Rowley (2002,
p. 20-21) construct validity entails exposing and reducing subjectivity by linking the
data collection measure to the research question as well as the propositions.
According to Patel & Davidson (2011, p. 13), the quality of the research is dependent
on the validity and reliability of the findings (Mustafa, 2017, p. 13). A case study is
valid if its findings are supported by other studies. The researcher conducted an
extensive review of the literature, public records, published statistics and various
other forms of documentation received in relation to the case and have made every
effort to ensure the validity and reliability of the research. Validity in the study was
measured to test the accuracy of the findings to ensure that the researcher was
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indeed correctly interpreting what she observed from the literature and her interview
with the municipal manager. Validation in terms of this study entailed the
involvement of the participants, checking the accuracy of the data collected and
cross checking it with reports and statistics published by Ngqushwa Local
Municipality, SALGA, various literature and Stats SA.
An interview was conducted with the Municipal Manager of Ngqushwa Local
Municipality. The observations that were made during the interview, the information
which were collected pertaining to Ngqushwa Local Municipality and the findings
made by the researcher during the research process, were linked with the reviewed
literature. To verify the accuracy of the information triangulation was used to confirm
authenticity. Triangulation was also used to achieve multiple viewpoints and to
confirm validity (Sarantakos, 2013, p. 99-102).
3.4.2.2 Reliability
Reliability of research entails the consistency of the results that are achieved, should
the collection processes be repeated. Reliability is therefore equivalent to
consistency. In the event that other researchers replicate the study the same results
will be achieved. This ensures that the research is free from biases and reliable
(Cooper & Schindler, 2014, p. 260-261). A method was reliable if it produces the
same results whenever it was repeated and was not sensitive to the researcher, the
research conditions or the respondents. Reliability is also characterised by precision
and objectivity. The purpose of reliability testing is to ensure that the instruments in
question were robust and not sensitive to changes of the researcher, the respondent
or the research condition. (Sarantakos, 2013, p. 104-105).
Reliability of the study was tested in order to measure the objective and consistency
of the information. For example, during the interview the researcher found the results
which were compared to those contained in literature and statistics were the same. A
case study protocol was used to ensure reliability. The primary data, i.e. the
interview with the municipal manager was captured on voice recording and it was
thereafter inputted into a case study transcript. In instances where uncertainty
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existed in relation to the recording and to clarify any information obtained, the
respondent was contacted if necessary.
3.5 DATA COLLECTED
Data was collected through an interview with the municipal manager, statistical and
other reports, records, documents as well as archival records. (Yin, 2009, p. 10;
Baskarada, 2014, p. 11-14) Numerous public reports and other documentation were
analysed as well as statistics in relation to the case which was published by
Statistics SA. An interview was conducted with the municipal manager of the
Ngqushwa Local Municipality. A theoretical database was established by the
researcher based on both primary and secondary data which was collected.
3.6 LINKING THE DATA TO THE PROPOSITION
Case studies emphasise the importance of a full contextual analysis of fewer events
and their interrelations to establish a causal link in the variables (Yin, 2009, p. 19).
This is referred to as the as the causal explanatory logic of linking the data to the
propositions, which will show that one variable always causes the other. Theoretical
propositions were used by the researcher for a basis of the case study. The case
study analysis therefore required the researcher to combine the data which was
collected with the initial case study propositions to create a direct reflection thereof.
3.7 PATTERN MATCHING
This technique is the most appropriate analytic strategy when conducting a case
study research as it is strictly limited to the testing of propositions. (Hak and Dul,
2009, p. 6; Yin, 2009, p. 41-43) It was used to interpret the case study findings and
to link the data to the propositions. It also strengthens the internal validity of a study
as the findings are similar to the predicted pattern. The empirically based pattern
which was used in this research was secondary data collected in respect of the
literature review, documentation received from the municipal manager of Ngqushwa
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Local Municipality during and after her interview, documents and reports from
various websites, SALGA and Stats SA.
3.8 CONCLUSION
This chapter provided an overview of the research methodology which was adopted
in the study. An explanatory and descriptive case study research approach was
adopted to answer the primary research question as contained in chapter 1. The
research design took the form of a single case study utilising a root cause analysis to
assess the challenges experienced in the Ngqushwa Local Municipality specifically
in relation to service delivery and to assess whether the . The importance of
reliability and validity were highlighted and the measures taken to ensure reliability
and validity were discussed. The discussion was also focused on the approaches
that would be used for data collection and analysis. Lastly pattern matching and
replication of logic techniques were used to link the data to the propositions. In the
next chapter an in depth analysis of the data which was collected for this study will
be discussed as well as the findings of the researcher.
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CHAPTER 4
DATA ANALYSIS AND FINDINGS
4.1 INTRODUCTION
The literature review in Chapter Two discussed the challenges local municipalities
experience specifically in relation to service delivery. In Chapter Three the research
methodology and design were explained to achieve the analysis of the root causes
of the problems experienced in municipal service delivery. This chapter focuses on
the analysis of data collected in relation to the articulation of challenges experienced
in municipal service delivery and it contains the results of the empirical finding which
focus mainly on the research question and the research objective.
The primary research problem as contained in Chapter One is as follow:
“What is the root causes of the challenges experienced by rural local
municipalities in relation to service delivery prior to the implementation of the
individual municipal turnaround strategies (MTAS).”
The primary research problem was supported further by the secondary research
questions presented below in Table 1.1
Table 4.1: Secondary research questions
RQ1 What active steps are required for the successful implementation of the
Local Government Turnaround Strategy to make a significant difference to
service delivery specifically in rural areas?
RQ2 What are the factors which negatively influence municipal service delivery?
RQ2.1 A lack of resources, specifically financial resources and human resources
including the inability of municipalities to plan strategically
RQ2.2 The effect of poor leadership both politically and administratively resulting in
an unethical culture and poor governance.
RQ2.3 Intergovernmental relationships (are there enough support from Provincial
and National Government).
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RQ3 What can be changed within local government to achieve effective service
delivery to rural areas?
Source: (Researchers own construction 2018)
The dependent variable was identified as the causes for the failure of municipalities
in rural areas in relation to service delivery and the following independent variables
were examined:
4.1.1 Political interference
4.1.2 Ethics
4.1.3 Intergovernmental Relationships
4.1.4 Financial Resources
4.1.5 Municipal Turnaround Strategy
4.2 DESCRIPTIVE DATA ANALYSIS
This section analyses the data by way of description. The data analysis was
supported by facts and figures which were collected from various sources such as
reports by Stats SA, COGTA, Treasury, reports by the Ngqushwa Local Municipality
and an interview with the Municipal Manager of Ngqushwa Local Municipality. The
data collected contains information on the challenges of local municipalities with
specific reference to the problems that are experienced in municipal service delivery.
The data was linked to the specific problems experienced in rural areas with specific
reference to the Ngqushwa Local Municipality and potential effect of the Turnaround
Strategy which was developed for the municipality and for which implementation
started during 2017. Primary data was also collected from the Municipal Manager of
the Ngqushwa Local Municipality in the form of a semi structured interview which
took place at Port Elizabeth on the 14th of September 2018.
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4.3 PRESENTATION OF QUALITATIVE FINDINGS
In Chapter One of the study, the primary research question was formulated as: What
is the root causes of the challenges experienced by rural local municipalities
in relation to service delivery prior to the implementation of the individual
municipal turnaround strategies (MTAS)?
The researcher in addressing the main research question collected primary data in
the form of a semi-structured interview with the municipal manager of the Ngqushwa
Local Municipality and secondary data was collected in the form of reports from
SALGA, Stats SA, literature which was written, and statistics published by the
municipality itself. The researcher linked the data collected to the propositions by
using pattern matching, as set out in the research methodology described in Chapter
Three above.
4.4 INTERVIEW WITH THE MUNICIPAL MANAGER OF THE NGQUSHWA
LOCAL MUNICIPALITY
After reviewing the literature relating to the challenges experienced in municipal
service delivery as well as the roles and functions of municipal officials within a
municipality, it is clear that the municipal manager is a key strategic individual within
the municipality. The municipal manager is at the centre of the municipal planning
and implementation processes which includes the strategic planning and budgeting
as well as the monitoring of the implementation of such plans. The municipal
manager is at the centre of all the challenges relating to service delivery and is the
individual best equipped to assist the researcher with answering the research
question. The municipal manager was asked a range of questions in relation to rural
municipalities, the Ngqushwa Local Municipality Turnaround Strategy, service
delivery as well as the challenges experienced by rural municipalities in service
delivery. A list of the questions is provided below. The answers to the questions
which were posed to the Municipal Manager are set out under each independent
variable listed in paragraph 4.5 – 4.8 below.
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4.5 SERVICE DELIVERY
Research Question 2 relates to the dependent variable service delivery. The
interview questions which are set out below must be read with the independent
variables, political interference, ethical leadership, intergovernmental relationships
and financial resources which are set out in paragraph 4.6 – 4.9 below.
RQ 2: What are the factors which negatively influences municipal service delivery?
The following questions were posed to the municipal manager in order to gain insight
into the research question:
Interview Question 1: Can you provide us with some general information on
the Ngqushwa Municipality
I can most certainly do so. I believe that in order to understand the challenges of a
rural municipality and specifically the Ngqushwa Local Municipality, it is important to
have regard to the demographics, economy, socio-economic circumstances and
some general information on the area. The Ngqushwa Local Municipality forms part
of the Amathole District Municipality. The Amathole District Municipality covers an
area of 23 573km² and the Ngqushwa Local Municipal area covers only 10% thereof
amounting to 2245 square kilometres. It is a category B municipality and is
predominantly rural and it consists of only two towns, namely Peddie and Hamburg.
It has a total population of 66 227 people and is divided into 12 wards with 108
villages. (Ngqushwa Local Municipality, 2018) There are little economic activity in
this area as it is a rural area and the economy is made up of mainly agricultural and
tourism. The municipality’s structure consists of 22 Councillors and 5 Traditional
Leaders.
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Interview Question 2: Was there any substantial growth in service delivery
for the period of 2011 to 2016?
In order to determine if there has been a growth in relation to the service delivery
since 2011 we need to look at the statistics in relation to the population, education,
household dynamics and household services which are received by the residents
within the Ngqushwa Local Municipality. To determine the dynamics of the
population a comparison has been drawn between the years 2011 and 2016, the
statistics for this period can be obtained from the Municipalities South African
website.
Table 4.2: Overview of common statistics of Ngqushwa Local Municipality
Demographic profile of Ngqushwa Local Municipality
Population
2016
69 200
2011
72190
Age Structure
Population under 15 31.1% 29.9%
Population 15 to 64 60.8% 58.3%
Population over 65 8.1% 11.8%
Dependency Ratio
Per 100 (15-64) 64.6 71.5
Sex Ratio
Males per 100 females 88.9 88.7
Population Growth
Per annum -0.55% n/a
Education (aged 20 +)
No schooling 7.8% 14.1%
Matric 21.4% 14.5%
Higher education 5.3% 3.7%
Household Dynamics
Households 17 149 19 471
Average household size 3.7 3.1
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Female headed households 51.7% 51.0%
Formal dwellings 72.9% 71.6%
Housing owned 70.7% 80.9%
Household Services
Flush toilet connected to sewerage 8.0% 5.0%
Weekly refuse removal 8.8% 7.2%
Piped water inside dwelling 7.2% 6.5%
Electricity for lighting 96.0% 91.4%
Source: Municipalities South African website (2016)
Interview question 10: In your opinion what are the major challenges which
are experienced by Ngqushwa Local Municipality?
Our biggest problem is funding and to raise sufficient funding to create infrastructure
such as roads to have access to our villages, stormwater drains and to buy waste
disposal / removal trucks. The MIG Allocation received for Ngqushwa Local
Municipality is not sufficient to assist with service delivery infrastructure and projects
for local economic development. Our total allocation for the year amounted to
R22 122 000.00 for this year. An amount of R 20 million was requested to be paid in
August 2018 as we need this amount in terms of our planning processes to pay
contractors up and until December 2018, but only R 8.9 million was received. The
effect of this is that we will have to put a hold on certain projects until such time as
we receive sufficient funds.
The large debt owed by other Government Departments, specifically the Department
of Public Works, which are not forthcoming and we have not yet received a
commitment from them to pay the amounts owed. It will greatly assist if the amount
of R 43 million can be received from the Department of Public Works as this amount
has been outstanding from 2006 / 2007.
A further problem in relation to our finances is that although the municipality is
situated in a rural area, it does not receive a rural allowance grant. We are at present
busy applying for this grant. The municipality does not own any waste disposal
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trucks and to date there has not been sufficient money to purchase a truck for the
area. They collect waste with small delivery vehicles or with normal trucks which is
not ideal. From a community point we currently have no Community Development
workers for wards 6 and 9 and hope to resolve this soon.
You will note from the 2018/2019 IDP that there were challenges identified within the
Ngqushwa Local Municipality with regards to financial constraints, resources,
economic and socio economic factors and leadership. After the perusal of the IDP
the researcher found the following constraints listed therein:
Financial Constraints
The equitable share formula or model is not favourable towards rural
municipalities and there is a high dependency on national grants for the
implementation of capital and catalyst projects. The strategic implementation
of projects is hampered as a result of financial constraints. The revenue which
is collected from the community is low as there is a high level of indigent
population who cannot pay for municipal services.
Resources
Various buildings and land are owned by Department of Public Works and
Rural Development. Little or no infrastructure exists within the municipal area
as the municipality is located in a predominantly rural area. The existing
infrastructure which exists mainly in the two towns, Peddie and Hamburg is
old and insufficient, specifically in relation to roads and drainage systems.
Leadership
Various changes occurred within the municipal structures and the key
positions held in Ngqushwa Local Municipality which ultimately resulted in
leadership challenges. There is also a lack of skilled technicians as well as
transformation and development within the municipality. Transformation and
development is of utmost importance to ensure the financial viability and
effective long term management of the municipality. In previous years a major
problem in relation to municipal service delivery has been the result of political
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interference in the administration of the municipality and the substantial
amount of fighting amongst councillors.
Economic and Socio Economic Factors
There are economic factors which include poverty and unemployment as well
as socio economic factors such as the fact that the area contains a high
number of HIV and AIDS infected persons, TB is also common. A large part of
the population also does not have water leading to their homes or toilets
inside their homes as a result of a lack of infrastructure. As there are no waste
removal services, illegal dumping is also a common occurrence. This poses
health risks for the communities.
Interview Question 11: Are these challenges hampering the economic
development and growth?
Yes, specifically the fact that the roads are in such a poor condition and in many
instances the villages are inaccessible for small vehicles. Furthermore we cannot
develop any area if there are no roads or other method of transport close to such
area. For example, the Ripplemead Packhouse, mainly used for packing citrus was
upgraded to a state of the art facility, however when the planning took place in
relation to upgrading this facility, nobody realised that the roads leading to the facility
will not be suitable for transporting the citrus to the closest harbour. Development
under these circumstances is difficult, specifically where a lot of funding is not readily
available.
Interview Question 12: Do you frequently have community protest actions
in the municipal area and if so, what is the course thereof?
We do have protest actions from time to time. I am unable to provide you with the
exact number of protests actions which we have had in our area. The protest
normally occurs as a result of the unhappiness of the communities in relation to
service delivery and the fact that there is a lack of infrastructure. The most recent
protest action was as a result of the community being unhappy about upgrades
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which was not completed to a sport field. The community felt that the sport field was
in a worse condition than it was prior to the contractor commencing with the upgrade.
In that particular instance we addressed the concerns raised and we have
investigated the matter.
Interview Question 13: Does the Ngqushwa Local Municipality engage
with the public and actively pursue a public participation process in
relation to the needs of the communities?
We believe that it is crucial to engage the public in municipal matters. We have
Steering Committees and Representative Forums in place which are functional for
the Integrated Development Plan, the Budget and PMS Representative Forum.
There are ward committees in place that are fully functional as well as an
Intergovernmental Forum which are functional. War Rooms was established in all 12
wards and this assist greatly with the process of public participation. A local
implementation task team was established and it was tasked with the training of all
the municipal counsellors in the area during August 2018. We have also developed
action plans to assist counsellors to deal with difficult situations. With regard to
prioritising services needed within the different wards, each ward prioritise their own
services according to the needs of the community. Public participation is crucial
when going through this exercise.
The summary of the ward based plans for the Ngqushwa Local Municipality was
compiled in a report during June 2018 based on the socio – economic circumstances
of each ward, infrastructure and service delivery of each ward as well as the services
required by each ward which must be prioritised. The people residing within each
ward prioritise the services they require and the ward counselors then communicate
the needs of each ward to the necessary municipal council. The most common
priority which was raised by the communities situated in villages was the fact that
they require roads as the villages are inaccessible. Secondly toilets were priorities
and only thereafter RDP Housing.
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Interview Question 14: In terms of the Systems Act, municipal
performance is deemed as crucial. What systems does Ngqushwa have in
place to monitor performance?
We review our performance on a six monthly basis, specifically in relation to the new
Turnaround Strategy which was implemented during 2017. When we monitor
performance we determine what we must change to keep us on course.
Interview Question 15: Do you have key performance indicators in place
and if so, are they clearly identified and communicated to all the
interested parties.
Yes we do have Key Performance Indicators (KPI) in place and they are
communicated to all interested parties on a regular basis. We have developed KPI
for the following Key Process Areas (KPA):
Institutional Development and Organisational Design;
Basic Service Delivery and Infrastructure;
Local Economic Development and Spatial Development;
Financial Viability and Management;
Good Governance and Public Participation;
Interview Question 16: How many of the municipal services are provided
through internal systems and how many are provided by external service
providers?
All our service delivery is provided by internal systems.
Interview Questions 17: Is any of the services provided by other
municipalities or by the Amathole District Municipality? And if so what is
the pros and cons to each.
Most of the services are rendered by the Ngqushwa Local Municipality.
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Interview Question 18: Are resources effective and efficient prioritised in
areas of urgency and where most needed;
We have 12 wards and each ward prioritises their own needs in relation to service
delivery. Most of our wards do not have roads leading into the villages and
therefore their priority is a need for roads to be installed.
Interview Question 19: What projects do you currently have in place in
relation to Service Delivery
Most of our projects are to create basic service delivery infrastructure projects, such
as roads, bulk services and housing programs. The following projects are currently in
place:
Hamburg 500 and Gcinisa 500 (Housing Consumer Education)
Peddie 105 (Road Infrastructure, where rural roads are made more accessible
as this is one of our major problems in the area)
Glenmore 1000 (Bulk Services to be installed)
Mpekwemi 500 (200 housing units are to be build)
INEP: Electrification of 320 households
Qhugqwala Internal Streets
Runlets
Wesley Internal Streets
Peddie Town Streets Phase 1 and 3
Operation Phakisa Programme
Research Question 20: How does your turnaround strategy complement
the Vision 2057?
It goes hand in hand. Our turnaround strategy is a short term plan to ensure that we
reach the goals set in our vision 2057.
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4.6 POLITICAL INTERFERENCE AND ETHICAL LEADERSHIP
In order to assess whether the lack of political interference as well as ethical
leadership within a municipality has a positive effect on municipal service delivery,
the researcher had to answer RQ 2 and RQ 2.2. The research which relates to
political interference, ethical leadership and financial resources overlapped and as a
result the researcher combined the data which was collected in relation to these
variables. Interview questions 10, 27, 28, 29, 30, 31, and 32 related to political
interference whereas interview question 14, 15, 18, 21, 25 and 26 related to ethical
leadership.
Research Question RQ2.2
Does poor leadership both politically and administratively result in an unethical
culture and poor municipal governance and does this negatively influence service
delivery?
The following questions were posed to the municipal manager in order to gain insight
into the research question:
Interview Question 24: What is the municipal structure and how many
committees and administrative structures are in place and are they
functional?
The municipal council consists of 22 Councillors, 19 ANC, 2 EFF and 1 DA. It has
an Executive Committee system and has 4 standing committees being;
BTO (Budget and Treasury Office)
Infrastructure and technical services
Community services and
Corporate services
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The following structures are in place:
TROIKA & TROIKA + 1
MPAC
Audit committee
Women’s caucus
LLF
Standing committees
MANCO
IGR (Intergovernmental Relationships Committee)
IDP / PMS Budget steering committee
All the Ngqushwa Local Municipality section 56 positions have been filled and all the
performance agreements for the years 2018 and 2019 are finalised and have been
submitted to COGTA for approval. We are at present not experiencing any staff
shortages or a lack of skills. There are job evaluations for all positions which have
been finalised as well as risk management evaluations and we have an audit action
plan which forms part of the performance agreements of senior managers. We have
also adopted a Human Resources plan.
Interview Question 28: Does the political (legislative) leadership have the
potential to impact performance in the administrative function within the
Ngqushwa Local Municipality and if it exists why does it interfere?
Yes unfortunately it does exist and have a great impact on the administrative
functions within a municipality. This is not only within Ngqushwa Local Municipality
but also within all municipalities in South Africa. Nepotism is a frequent occurrence,
specifically in the allocation of a tender or employment of staff. As it is my duty to
oversee these functions I make sure that this type of behaviour are reported to
Internal Audit and that an investigation are immediately launched in relation to such
incidents. As a result hereof I constantly have to protect my position as municipal
manager as I serve as a threat to the individuals who employ these tactics of political
interference. This is one of the many reasons why a municipal manager is always in
the firing line. I think it is of critical important to ensure that there is no political
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interference within the administration of a municipality, however it is easier said than
done.
Interview Question 29: Are there any political or council interference on
your procurement processes?
Yes, unfortunately this occurs frequently in government where people in political
positions abuse their power and influence the procurement process. This is normally
done to enhance such individuals interests be it politically or for financial gain for
friends and family members. The most obvious example is in relation to tenders,
where individuals want to have tenders awarded to their family and friends
Interview Question 30: Do you have an internal audit system and is it
effective?
Yes we do have an internal audit department and they are highly effective when
matters are reported to them and they investigate such matters. In many instances
in municipalities, and this relates to all South African municipalities, the matters are
not reported to the internal audit department as a result of threats which are made to
the individual who has to report the matters.
Interview Question 31: Are there at present any internal and/or external
investigations in relation to fraud or mismanagement within the
municipality?
Yes there are, I however cannot confirm how many matters they are investigating. I
can confirm that I have recently referred a matter to Internal Audit for investigation.
4.7 INTERGOVERNMENTAL RELATIONS
In order to assess if good intergovernmental relations between the spheres of
government has a positive effect on municipal service delivery the researcher had to
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answer RQ 2 and RQ 2.3. RQ 2 was dealt with in 4.5 above and is not repeated
below. The interview questions in relation to intergovernmental relationship and to
answer RQ 2.3 are set out below. Interview questions 10, 17, 27 related to
intergovernmental relationships between the different spheres of government.
Research Question RQ2.3
Does a lack of support from Provincial and National Government and ineffective
intergovernmental relationships negatively influence municipal service delivery
Interview Question 38: With regards to Intergovernmental Relations,
National and Provincial government has a constitutional obligation
(section 157) to ensure that municipalities have the capacity and
resources to give effect to their obligations. What is your experience
with regards to the co-operation received from national and provincial
government to ensure that you can give effect to your constitutional
obligations? Is the Ngqushwa Local Municipality co-operatively working
with the national and provincial administrations and is it receiving
sufficient guidance and resources from National and Provincial
Government?
We believe that it is highly important for us to have good intergovernmental
relationships with both provincial and national government and we are actively trying
to build such relationships. We have for example recently managed to obtain the 841
properties through negotiations facilitated by the Provincial Government. The only
concerns remain the funding and financial aspects, for example the debt which has
been outstanding since 2006/2007 as well as the fact that we are not receiving a
rural grant. We do need more assistance in respect of our financial resources.
4.8 FINANCIAL RESOURCES
To assess if financial resources are required for municipalities to effectively render
municipal service to its communities and to determine if sufficient financial resources
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has a positive effect on municipal service delivery the researcher had to answer RQ
2, RQ 2.1 as well as RQ 3. Research question 2 has been dealt with in paragraph
4.5 above. Interview questions 10, 11, 22, 23, 33 and 34 relates to the independent
variable, financial resources.
Research Question RQ2.1
Does a lack of resources, specifically financial resources and human resources
including the inability of municipalities to plan strategically, negatively influences
service delivery? The following questions were posed to the municipal manager in
order to gain insight into the research question:
Interview Question 21: Does the availability of resources influence the
management of service delivery performance?
Yes it most definitely does, specifically in relation to the funding of basic
infrastructure such as roads and service delivery. As I mentioned before we do not
own even 1 waste removal truck. Our villages are inaccessible because of the
conditions of our roads. This problem not only relates to service delivery but also to
economic development of the communities. The roads leading to villages are in
such a poor condition that normal passenger vehicles cannot drive on the roads as
their tyres will get seriously damaged.
Interview Question 22: What are your sources of revenue for the year
2018 to 2019?
Our own revenue sources which we have included in our budget amounts to
approximately R48 278 000.00 (fourty eight million two hundred and seventy eight
thousand rand) and consist of the following:
Levying of rates and taxes
Refuse Removal
Rental of facilities and equipment
Tender Fees
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Traffic Fines
ENATIS
We also receive an equitable share allocation of R 75 488 000.00 and a Municipal
Infrastructure Grant (MIG) allocation of R 22 833 000.00.
Our Extended Public Works Programme Allocation (EPWP) amounts to
R1 480 000.00 and our Integrated National Electrification Programme (INEP)
allocation amounts to R5 332 000.00
A big problem we are experiencing is that we have a large debtors book in relation to
other state departments which we are struggling to collect, the total debt outstanding
from other Government Departments amounts to R62 575 008.05. Approximately
R43 000 000.00 of the debtors book relates to amounts owing to us by the
Department of Public Works and has been outstanding since 2006/2007.
Interview Question 23: What does the economy within Ngqushwa Local
Municipality comprise of and what is needed to grow the economy within
Ngqushwa Local Municipality?
As Ngqushwa are situated within a largely rural population, the economy within thea
rea consists of mainly agriculture. Funding for agricultural projects and
developmental training is required. Our general overall population struggle to find
employment as there are minimum employment opportunities available for them. The
result is ultimately that they struggle financially and the majority of the population are
poor and depend on government grants to survive. In order to grow our economy we
need to install infrastructure to create an environment for our communities to be
more accessible to provide them with opportunities.
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Interview Question 24: How many employees are employed at Ngqushwa
Local Municipality? Are they all equipped with the necessary skills and
knowledge to perform their work efficiently?
I am uncertain of the exact number of employees but we have no vacancies and no
shortage of staff. We are committed to train our staff and we have training programs
on a regular basis, for example during 2017 we commenced with training programs
to ensure that our counsellors are equipped to deal with their day to day tasks. We
provide training to our staff to ensure that they acquire the necessary skills and
knowledge which is required for their employment within the municipality. Our aim is
to ultimately grow them as individuals.
Interview Question 25: Do you have an Integrated Development Plan in
place and has it been successfully implemented?
Yes we do have an Integrated Development Plan for 2017/2018 – 2021/2022, we
have also approved and adopted the budget for the IDP for the years 2018 and 2019
at a meeting on the 31st of May 2018. The IDP sets out the short term operational
plans of the Ngqushwa Local Municipality and is reviewed on an annual basis. It is
directly linked to their annual Service Delivery and Budget Implementation Plans.
The long term strategy and vision of the Ngqushwa Local Municipality specifically in
relation to growth and development is set out in their “Vision 2057” policy document
We are at present busy with the implementation processes of the IDP.
Interview Question 26: Is it correct that the IDP is the vision of the
municipality?
Yes it can be seen as the vision, but must be read together with the Vision 2057 as
well as the Ngqushwa Local Municipality Turnaround Strategy.
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Research Question RQ3
What can be changed within local government to achieve effective service delivery to
rural areas?
We need infrastructure to be implemented in our area. In terms of an infrastructure
analysis which was conducted in 2016 on the Ngqushwa Local Municipality and
published in our turnaround strategy the outcomes were as follow:
Roads
There is a great need to develop a rural road network. The north of the municipal
area is poorly connected to primary roads and the existing roads are poorly
maintained as a result of limited funding which are available. This results in
difficulties in rendering services to the communities living in villages, which amounts
to more than 95% of the population. This also impacts on the economy as villages
are inaccessible and businesses cannot be established within these areas. In turn
this again results in high unemployment rates. It also impacts on the tourism industry
within the area which is underutilised. In order to create a self-sustainable economic
environment within the villages situated in the Ngqushwa Local Municipality, their
communities require the necessary skills and training. Projects which enhances
economic activity and investment is required, however none of this will be possible if
there is no roads to access the communities and villages.
Water and Sanitation
Water is provided by the Amathole District Municipality which is also responsible for
the operation and maintenance thereof. 70% of the water which is supplied within the
area is portable. There is very little sanitation infrastructure within the Ngqushwa
Local Municipality and the existing infrastructure require urgent upgrades. The
majority of the population makes use of pit latrines which are mostly unventilated and
unhygienic. This has serious implications for the health and wellbeing of the
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population. There are neither solid waste removal services in rural areas nor any
solid waste sites. The waste sites and refuse collection system in the two towns are
also not in accordance with the legislation nor in accordance with the Department of
Environmental Affairs and Tourism Standards. There is a risk of the underground
water being polluted by leachate which can cause a further health hazard.
Interview Question 33: In terms of the Ngqushwa Local Municipality
Turnaround Strategy a Project Management Office (PMO) are to be
established. Do you believe that the proposed PMO will impact positively
on service delivery within the area?
Yes this will definitely make a difference. The office will be run by a designated
person who will have the sole responsibility to source and secure funding from
private donors, nationally and internationally. As I mentioned before our greatest
obstacle at present are funding and the PMO office will source and secure funding
which can be used to enhance our service delivery and infrastructure development.
The aim of the PMO office is furthermore to assist with Local Economic Development
as well as Socio Economic Development within the area.
Interview Question 34: Do you have a local economic development
programme and what does it entail?
Ngqushwa Local Municipality is in the process of finalising its LED Strategy. In the
interim we have the following programmes which are presently in the pipeline:
Operation Phakisa:
Ngqushwa Local Municipality has a vision to revitalise the Coastal Town of
Hamburg and build a world class housing development programme with a
waterfront. It entails a beach front beautification and an aquaculture.
Properties donated by Department of Public Works
Department of Public Works have agreed to donate to Ngqushwa Local
Municipality 814 properties which donation was accepted by the Executive
Committee on the 29th of August 2018. At present we are in the process of
having these properties transferred to Ngqushwa Local Municipality. We
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plan to use these properties to assist with LED and to assist with the needs
of SME and other skill transfers programmes.
Green Municipalities Programme (BIGM)
Our most exciting project are the “Building Inclusive Green Municipalities
programme” (hereinafter referred to as BIGM) which we have started with
the Canadian Municipal Federation. It is still a work in progress but we
believe that this will be a great benefit to our communities.
Interview Question 35: What does the agreement with the Canadian
Municipal Federation entail?
During November 2016, Salga and the Federation of Canadian Municipalities (FCM)
entered into a 5 year agreement in terms whereof the FCM will run a programme to
assist 6 municipalities in the Eastern Cape in three different sections. The Ngqushwa
Local Municipality resolved on the 31st of May 2017 that they accepted the Local
Economic Development section of the BIGM programme and they have partnered
with the town of Innisfil in Ontario Canada to build an entrepreneurial ecosystem in
Ngqushwa. This project is still in the implementation phase, but we are excited that
this will assist our communities greatly with regards to economic development.
Interview Question 36: Has there been a positive impact from the
Canadian Trade Agreement as yet and how does it assist with the
implementation of the turnaround strategy?
Yes, we have secured funding to start a website to implement entrepreneurial
ecosystems and to promote our area. This is however still a work in progress and we
are only in the initial stages of implementation thereof, we however believe that this
programme will assist us with future funding for LED.
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Interview Question 37: Are there any mega projects which are currently
being implemented?
Not at present, but we are in the process of proposing projects to enhance tourism
within our area, specifically in the town of Hamburg. We want to develop the town
into a holiday destination and to build a waterfront. Funding is however also required
for this.
4.9 MUNICIPAL TURNAROUND STRATEGIES
To assess whether municipal turnaround strategies have a positive effect on
municipal service delivery the researcher had to answer research question RQ 1 and
RQ 3.
Research Question RQ1
What active steps are required for the successful implementation of the Local
Government Turnaround Strategy to make a significant difference to service
delivery specifically in rural areas?
The following questions in relation to the Ngqushwa Local Municipality Turnaround
Strategy as well as the implementation thereof were posed to the municipal manager
in order to gain insight into the research question:
Interview Question 3: When was the first Turnaround Strategy implemented
in the Ngqushwa Local Municipality?
The first Turnaround Strategy was implemented during 2017.
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Interview Question 4: What are the processes followed in the
implementation of the turnaround strategy?
It is currently a work in progress, we are attempting to obtain funding to implement
the various aspects of the turnaround strategy and to ensure its success. We are
presently reviewing our progress every 6 months. I however feel that we need to
have more regular meetings to evaluate the progress. It is my opinion that we must
assess the progress on the implementation of the strategy on a monthly basis to
monitor the processes and the progress more effectively.
Interview Question 5: Do you believe that the current strategy can be
successfully implemented?
Yes, I believe that we will be able to be successful in the implementation of the
strategy if we can secure the funding that we require. At present our biggest obstacle
to overcome is the fact that we do not have sufficient funding to implement the plan
successfully. The main focus of the strategy is local economic development, to
ensure that our communities become self-sustainable and the end result to grow the
economy within the municipal area. The last statistic’s which was published on
service delivery was during 2016, therefore I am unable to compare the current state
of service delivery to the statistics published in 2016.
Interview Question 6: Do you see a political buy in with regard to the
Turnaround Strategy?
Yes, I definitely do see a political buy in to the policy. We also received a score of
100% from SALGA for the MTAS. If the strategy can be implemented successfully,
we will be able to render better service delivery to our people and enhance their
quality of life substantially. The fact that we entered into an alliance with the
Canadian Federation of Municipalities have also created great excitement about
what we can achieve for our people.
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Interview Question 7: What are the internal factors hampering the effective
implementation of the Turnaround Strategy?
As I said before, our major problem is that we need financial resources. We have
enough human resources but insufficient funding to create basic infrastructure and
implement programmes to enhance service delivery and ultimately ensure local
economic development.
Interview Question 8: What are the external factors hampering the effective
implementation of the Turnaround Strategy?
The most important external factor for us is to ensure that we obtain funding from
investors and donors, more specifically from overseas governments and investors.
This is influenced by various other factors such as the political environment in the
country, our economy, legal implications and political interference in the
administrative functions of municipalities to name a few. We are currently working
with the Canadian Federation of Municipalities on a project which will assist us in the
implementation of the turnaround strategy. The Canadians were exceptionally
impressed with our Turnaround Strategy and what we want to achieve with it. I
therefore believe that it will definitely enhance our service delivery.
Interview Question 9: Has the turnaround strategy made a difference in the
delivery of basic services in the community?
We are at present assessing the effect that the strategy has on service delivery, but
we do believe that it will have a positive effect on municipal service delivery.
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4.10 PATTERN MATCHING
Yin (2009, p. 41-43) describes pattern matching as a strategy which brings dissimilar
data together in a case study. He furthermore confirms that the technique of pattern
matching is used to enhance, strengthen and add to the internal validity of the study
and to confirm the propositions. The pattern matching technique was used to
compare the patterns which are evident from the data which has been collected,
against other hypothesized patterns known within the same field. Therefore pattern
matching also compares the pattern which is evident in the data against the
theorised patterns or propositions which are established by the researcher due to her
knowledge of the field (Almutairi, Gardner & McCarthy, 2014). This technique
confirms the propositions made by a researcher and therefore strengthen the internal
validity of the study (Yin 2009; Rowley, 2002, p. 21; Baskarada, 2014, p. 8).
4.10.1 Organising and arranging of data
According to Yin (2009, p. 42-43), it is important to effectively organising the data to
enable the researcher to track the data sources which will improve the reliability of
the case study. (Baxter & Jack, 2008, p. 556) As can be seen above the research
questions were answered and patterns were identified in the data applicable to all of
the variables as discussed in Chapter 1 and based on the prior propositions derived
from the literature review. Table 4.1 below indicates how the data is linked to the
propositions.
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Table 4.1: Data linked to the propositions
PROPOSITION INTERVIEW
QUESTIONS
RESEARCH
QUESTION
RELATIONSHIP
P1
Political interference is a
root cause of the failure of
service delivery
10, 27, 28,
29, 30, 31, 32
RQ2
RQ2.2
Significant
P2
Ethical leadership are
required for a municipality
to render efficient and
effective services to its
community
14, 15, 18,
21, 25, 26
RQ2
RQ2.2
Significant
P3
Intergovernmental
Relationships
10, 17, 27
RQ2
RQ2.3
Significant
P4
Financial Resources
10, 11, 22,
23, 33, 34
RQ2
RQ2.1
RQ3
Significant
P5
Municipal Turnaround
Strategies
3, 4, 5, 6, 7,
8, 9, 20
RQ1
RQ3
Significant
Source: (Researchers own construct, 2018)
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4.11 CONCLUSION
Based on the interview with the Municipal Manager it is clear that the biggest
problem which is encountered in the Ngqushwa Local Municipality is the fact that
there is not sufficient funding for the municipality to attend to all the identified needs
which were prioritised by the various wards. The biggest concern is the fact that the
villages are inaccessible as there are not sufficient roads to access the villages and
this hampers economic growth.
Chapter four focussed on linking the data to the propositions as set out in chapter
one and made use of the pattern matching technique. The research clearly indicates
that there is a significant relationship between all the independent variables namely
political interference, intergovernmental relationships, ethical leadership, financial
resources as well as municipal turnaround strategies and the dependant variable
being municipal service delivery. The result of the research indicates that in order to
have effective and efficient service delivery in rural municipal areas there must be
ethical leadership, sufficient financial resources, good intergovernmental
relationships between the different spheres of government and a good municipal
turnaround strategy.
Chapter five, focus on the research findings and conclusions of the study. It
furthermore discusses the limitations of this specific study and makes
recommendations for future research which are needed in relation to the topic of the
case study.
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CHAPTER 5
SUMMARY, CONCLUSIONS AND RECOMMENDATIONS
5.1 INTRODUCTION
Case study research report on a phenomenon, but it also report on the context in
which the phenomenon occurs. (Baxter & Jack, 2008) Chapter 5 address the
empirical findings of the study and the insights gained from the research are
interpreted, organised and comparatively evaluated. Recommendations are made
based on the findings of the research and areas for future research are proposed.
5.2 SUMMARY
The case study research effort was concerned with the challenges of service delivery
in rural municipalities and how policies such as the turnaround strategy can make a
difference thereto.
The research problem was developed into the main research question in chapter 1
as follows;
What is the root causes of the challenges experienced by rural local
municipalities in relation to service delivery prior to the implementation of the
individual municipal turnaround strategies (MTAS)?
In addressing the research problem various factors which influence service delivery
were identified and discussed.
The primary research objective of the research effort, as stated in Chapter 1, was “to
seek new insight into the root causes of local government’s failure to provide
effective, efficient and sustainable basic services to rural areas, as prescribed by the
Constitution.” The primary research objectives were supported by the secondary
research objectives which are set out in table 1.2. The achieved objectives have
been set out in table 5.1 below.
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Table 5.1: Research objectives achieved
RO1 An evaluation was done on the existing literature in relation to the challenges
experienced by municipalities in service delivery. It was found that the
challenges have remained the same during the past 20 years and that there
has not been a great improvement in relation to these challenges.
RO2 The causes of the failure of municipalities in rendering basic municipal
services are due to political interference in the administrative functions of
municipalities, insufficient financial resources, poor intergovernmental
relationships and poor leadership leading to an unethical organisational
environment.
RO3 The investigation into the problems experienced by the Ngqushwa local
municipality was done and the main problems seems to be that there are not
sufficient financial resources for the municipality to ensure infrastructure
development and to effectively and efficiently render services to its
community.
RO4 An in-depth interview was conducted with the Municipal Manager of the
Ngqushwa Local Municipality to assess the challenges experienced
specifically in relation to service delivery.
RO5 An analysis was conducted as to why policies such as the Local Government
Turnaround Strategy (2009) and the Implementation Policy (2010) have not
made any significant differences to municipal service delivery.
RO6 Solutions to correct the root causes of the challenges relating to service
delivery were investigated.
RO7 Results and interpretations of the research were discussed and
recommendations were made based on the results of the study.
Source: (Researchers own construct 2018)
The researcher identified the root causes of the challenges of service delivery to be
as follows:
Political interference in the administrative process of municipalities;
Poor intergovernmental relationships between National, Provincial and Local
government;
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Insufficient financials resources;
Poor Leadership resulting in an unethical organisational environment.
Chapter two consisted of an in-depth literature review starting with a historical
overview of the municipal framework dealing specifically with its functions and
powers pre-1994 and thereafter setting out the municipal framework and the
functions and powers of municipalities post 1994. It describes and explains the
challenges of municipalities in relation to service delivery and the policies that have
been developed and implemented in the past 24 years with specific reference to the
Local Government Turnaround Strategy (2009).
For the literature review, several independent variables were identified which have
an influence on the dependant variable, municipal service delivery. These
independent variables included: political interference, ethics, intergovernmental
relations, implementation of municipal turnaround strategies and financial resources.
These independent variables are listed in Figure 1.3 above.
5.3 CONCLUSIONS MADE FROM THE RESEARCH METHODOLOGY
The researcher used an interpretivist paradigm in conjunction with the case study
research method. A semi-structured interview was conducted with the Municipal
Manager at the Ngqushwa Local Municipality as a key individual in the municipality.
The interview was documented and formed part of a single case study. As the
interview was of a semi-structured nature, the researcher could clarify questions and
answers to eliminate any possible misinterpretation of issues. The researcher made
use of the pattern matching technique to analyse the data collected from the different
sources. As a result the researcher was able to confirm the independent variables as
critical success factors to ensure the perceived success of service delivery in
municipalities in rural areas in South Africa.
To ensure the reliability of the research the research questions were properly defined
to address the requirements of the study. The sources of the data which was
collected were from the Municipal Manager of Ngqushwa Local Municipality, various
112
reports from government institutions, information published SALGA and Stats SA,
and other academic sources of literature on the topic. Figure 5.1 below indicates the
relationship between the dependant and independent variables of the study.
Source: (Researcher’s own construct 2017)
5.4 INTERPRETATIONS
5.4.1 Research problem and conclusion
The effective and efficient delivery of municipal services in rural areas is of crucial
importance to ensure local economic development and enhancing the socio-
economic environment within rural areas. According to the statistics In terms of “The
state of basic service delivery in South Africa: In-depth analysis of the Community
Survey 2016 data”, the discrepancy which exist between rural and urban areas are
hidden in the national statistics. The report confirms that only 6.8% of households in
rural B4 municipalities have access to piped water, in contrast to 62.6% in
metropolitan areas. The report further indicates 27.5% of households in rural areas
do not have access to an improved source of water; 22.5% of households in the
Eastern Cape do not have access to an improved source of water; there is a 50.6%
backlog in sanitation systems in the rural municipalities and only 12.6% of
Perceived success of service delivery within rural municipalities in
South Africa
POLITICAL INTERFERENCE
ETHICAL LEADERSHIP
INTERGOVERNMENTAL RELATIONSHIPS
FINANCIAL RESOURCES
MUNICIPAL TURNAROUND STRATEGIES
Significant
Significant
Significant
Significant
Significant
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households in rural municipalities received refuse removal services. The report
confirms that 81.6% of households in rural areas discard refuse themselves,
whereas only 10.2% discard their own refuse in urban areas and 3.9% in
metropolitan areas. It is with these statistics in mind that the research question and
objective was formulated.
5.4.2 Research question and conclusion
There are various challenges which exist in relation to service delivery and in order
to eliminate such challenges it is important to understand the root causes of the
challenges and the significance thereof in order to develop a corrective action plan to
ensure that these challenges can be eliminated.
The root causes which have been identified are political interference in the
administrative processes of municipalities, poor intergovernmental relationships, lack
of ethical leadership and insufficient financial resources. In order to ensure that these
root causes are eliminated the following corrective actions are suggested.
5.4.2.1 Political Interference and Ethical Leadership
One of the most significant challenges experienced not only by rural municipalities
but by all municipalities throughout South Africa are political interference in the
administrative functions of a municipality. After perusal of the legislation and taking
into account the current legislative framework, the only solution to this problem are to
ensure the protection of the position of a municipal manager. It is suggested that the
legislation be amended to afford more protection to the position of a municipal
manager by taking away the municipal councils and mayoral council’s power in
relation to the appointments and dismissal or termination of the employment
relationship of the municipal manager. I believe that as soon as the political
interference within municipalities are reduced and ultimately eliminated, a more
ethical culture will start to exist within a municipality and the leadership positions will
be filled with ethical and strong leaders. In order to effect change within
municipalities in South Africa, strong leaders must be appointed. The election of the
114
mayoral committee should also not be entirely in the discretion of the elected
Executive Mayor as it is at present. The Mayoral committee should be representative
of the democratically elected council and in such a way elements of possible
corruption or interference by this important body can be policed by its own members.
This will again require legislation changes to give effect hereto.
5.4.2.2 Intergovernmental Relationships
The role of district municipalities need to be investigated to establish whether there is
a justifiable need for their existence. District municipalities are not meant to be
primary service providers and remain removed from its communities. A strong
argument can be made out that the role of district municipalities are superfluous.
Given that it has its own elected council and executive mayor as well as a full
compliment of officials, its overhead and lack of technical and financial resources
casts doubt over whether they serve any purpose whatsoever. This is even more so
as local municipalities has each got unique challenges not always solvable by a one
fits all approach. To enhance intergovernmental relationships it is therefore
recommended that district municipalities be amalgamated with local municipalities or
de- established and existing rights and obligations ceded and delegated to local
municipalities. This will make more financial resources available and allow provincial
government to fulfil their mandate of empowering and enabling local municipalities to
provide proper service delivery. Where district municipalities may have provided bulk
services to more than one local municipality, this can be addressed through multiple
jurisdictional municipal entities as provided for in the Municipal Systems Act. It will
also eliminate at least one platform of political interference and put an end to
debates and disputes between municipalities as to who hold a specific function or
power in that jurisdictional area.
5.4.2.3 Financial Resources
Most rural municipalities do not have sufficient funding within its area to ensure that
they can develop infrastructure for service delivery and to effectively and efficiently
115
serve the local community within its area of jurisdiction. Rural municipalities are
mostly dependant on grants being allocated to them as well as other sources of
government funding. These grants and government funding are rarely sufficient to
fulfil the needs of the communities living within the boundaries of a rural municipality.
International funding are available to countries such as South Africa specifically for
developmental purposes, but as a result of the political interference in municipalities
and the amount of corruption which frequently occur in government, international
investors and donors are hesitant to provide funding directly to the municipalities.
Donations and international funding are as a result not forthcoming. A solution to this
problem is to establish a project management office (PMO) for each local
municipality. The sole purpose for the PMO office will be to source funding for local
economic development as well as infrastructure development. It is envisaged that
the PMO office must be a separate legal entity which functions independently from
the municipalities as well as independently from any third party service provider.
The ultimate aim of a PMO office should be to source funding for infrastructure
development. In doing so, it must be financially self-sustainable by covering its
overhead through a percentage of the funding raised through national and
international investors. This is permissible as regulation 51 to the Municipal Supply
Chain Regulations allows for compensation as a percentage of turnover. The PMO
model envisaged will therefore place no financial demands or burden on the
municipalities. As previously indicated, it is suggested that the PMO entity be funded
on a commission structure. The commission structure must be attractive enough for
the private company or private individual to actively seek funding. It is therefore
suggested that a commission of 10% of the funding received be allocated to the
event that the funding is successfully secured.
Once funding is secured, it will, under the management of the PMO office be
allocated to projects identified in terms of the municipality’s IDP and turnaround
strategy. Third party contractors or service providers will still be appointed in terms of
the prescripts of chapter 11 of the MFMA as well as the SCMP of the municipality.
The management of the contractor or service provider as well as any payments due,
will remain within the domain of the PMO office.
116
The introduction of the PMO model will, as a result of its independent functioning, be
immune to political interference or corruption and misuse of investor funding raised.
It is important to note however that the establishment of a PMO office does
constitute the appointment of an independent service provider to take over relevant
municipal functional powers. This constitutes a trigger event as envisaged in terms of
section 77 of the Municipal Systems Act and must be preceded by a section 78
investigation to establish the feasibility of such a PMO appointment. The private
party appointed to function as the PMO office will also be the subject of procurement
procedures set out in chapter 11 of the MFMA and the municipal SCMP.
5.4.3 The secondary research questions were answered in the study
Table 5.2: Secondary research questions
RQ1 It has been established that in order to ensure the successful
implementation of a MTAS sufficient resources both human as well as
financial resources funding is required. It is imperative that there is a proper
monitoring process put in place to ensure that the strategy can successfully
be implemented.
RQ2 In the event that the challenges which are experienced in relation to service
delivery are not corrected, the effects on communities within rural municipal
areas will lead to devastating results, both with regards to local economic
development as well as socio-economic development in communities.
RQ2.1 In order to implement MTAS successfully, municipalities require both
financial and human resources, without these resources no MTAS can be
implemented successfully.
RQ2.2 The data collected have shown that the effect of poor and unethical
leadership results in an unethical culture and create a system of poor
governance.
RQ2.3 The data collected clearly indicated that good intergovernmental
relationships are required between local, provincial and national
government. It is also imperative for rural municipalities to get the required
support from their respective Provincial Governments as well as from the
National Government.
117
RQ3 In order to create well-functioning municipalities, it is imperative that ethical
and strong leadership are implemented which will create an ethical
environment within a municipality without any interference from any political
party within a municipality.
Source: (Researchers own construction 2018)
5.5 THE DEPENDANT VARIABLE
In chapter one of the study, the dependant variable was identified as the challenges
experienced in relation to municipal service delivery. A thorough literature review
was conducted and data was collected through a semi-structured interview with the
municipal manager of Ngqushwa Local Municipality. It was established that
perceived success of municipal service delivery is dependent on five key drivers
namely; no political interference in the administrative function of municipalities, good
intergovernmental relationships between the different spheres of government, ethical
leadership, the implementation of municipal turnaround strategies and sufficient
financial resources. The independent variables were explained during the first part
of this chapter as well as the impact it has on municipal services delivery specifically
in relation to local rural municipalities.
5.6 KEY ISSUES AND CORRECTIVE ACTION PLAN FOR NGQUSHWA LOCAL
MUNICIPALITY
After analysing of the Ngqushwa Local Municipality Turnaround Strategy and the
interview with the municipal manager it is clear that the MTAS was well researched
and address all the problems which are experienced within the municipal area. The
MTAS if implemented correctly will have a positive effect on service delivery. The
concern however is the fact that the implementation process is slow and not properly
monitored to assess the progress of the implementation of the MTAS.
Below an explanation of the key issues in relation to the situational analysis,
infrastructure development and environmental issues are set out.
118
The key issues recognised from the situational analysis which directly affects
the economy of the area are as follows:
The unemployment rate of 68% at Ngqushwa Local Municipality is very high
and approximately 41% of the population have no income. This has a direct
effect on the economy within the area. It furthermore affects the financial
resources of the municipality as most of its residents cannot afford to pay for
municipal services.
The majority of the population are uneducated and educational facilities do not
have adequate infrastructure capacity available. There are also very little
educational and training facilities available.
There are no social housing programmes within the area which have a
detrimental effect on the social development within the area.
The tourism industry is under developed as a result of poor infrastructure and,
facilities. Various villages are inaccessible as a result of poor roads and there
is a lack of infrastructure required to stimulate tourism growth such as
information centres and banks. Addressing this issue will also create more job
opportunities within the local community. .
There is a lack of adequate recreational facilities and a lack of facilities for
traders who require a market place, equipment and tools of trade.
The social infrastructure within Ngqushwa Local Municipality is limited, with
the majority of facilities being located within the town of Peddie. The available
social infrastructure remain in poor condition and are not maintained.
The key issues in relation to infrastructure and development are as follow:
In discussing the problems in relation to infrastructure it is important to bear in mind
that 97% of the population resides in rural areas which entails that the majority of the
population are at present not receiving basic services.
RDP housing projects have previously been promised, but have not been
implemented.
119
The release of land from being state owned to the communities is slow and
problematic due to lack of capacity within the municipality to resolve land
issues. The large amount of unresolved land claims (approximately 169
during 2017) within the municipality creates further issues and hampers
development. Large portions of state owned land must be released and
converted to communal ownership, which is a slow and technical process
which requires strong intergovernmental relationships between the different
municipalities and state departments to be effective. There is an also different
legislative measure which guides development such as LURA, DFA, LETTEA,
IPILRA and SPLUMA. Although ‘communal’ land is held in trusts by the
Minister of Rural Development and Land Reform and formerly registered in the
name of the state, it is occupied by individual members of the respective
communities under Permission to Occupy (PTO) arrangements and/or
customary tenure commonly referred to as beneficial occupation rights.
Communal areas are governed by a series of proclamations such as
Proclamation 174 of 1921, Proclamation 26 of 1936 (commonly known as PTO
or Permission to Occupy legislation). Although land is a basic need, ownership
is still a problem, particularly in rural areas where tenure systems are not
conducive to ownership, for example Permission to Occupy (PTO, Freehold
and Quitrent. The land administration system is generally a problem with
uncertainty on the responsibilities between different authorities of the
Department of Agriculture, Magistrates offices and payment of some dues to
some headmen or Chiefs. The villages are spatially dispersed and fragmented
which makes the implementation of services and installation of infrastructure
difficult to manage and expensive to implement specifically considering that
the overall land uses within the municipal area consist of nodal areas, coastal
areas, rural settlements, agricultural areas game reserve, rivers and dams;
Ownership in the urban area is mainly vested within the Municipality and the
Department of Public Works also owns various properties in Peddie. It has
been negotiated that the properties be transferred to the Ngqushwa Local
Municipality, which process is presently underway.
Economic Development is also slow. The sector with the largest economic
potential is agriculture. However as a result of numerous land claims against
120
agricultural land, the development has been slow. A further contributing factor
is the fact that it is a tedious process to have state owned land transferred to
communities. This has a direct impact in obtaining funding for development.
The MTAS of Ngqushwa Local Municipality has identified the various
agricultural areas which require development and mentorship programmes are
required. This can ultimately lead to self-sustaining communities. The
implementation of programmes has been slow and to date has not been
realised.
A large portion of the municipal area is poorly connected to the primary roads
and access to public facilities from villages is difficult. A rural road network is
required. This also affects infrastructure and development within the areas. An
upgrade of the roads is furthermore required for tourism and economic
activities to be developed. There is however not sufficient funding for this at
present.
The Amathole District Municipality is responsible for water services as well as
the operation and maintenance thereof. 70% of water is however portable
within the municipality and the Ngqushwa Local Municipality has little access
to sanitation systems and the majority of the population makes use of pit
latrines which are mostly unventilated which poses problems in relation to
health and hygiene issues.
Environment within Ngqushwa Local Municipality
In conducting an environmental analysis of municipalities in South Africa
considerations must be given to the fact that municipalities must ensure the
protection of the environment and human health in the exercise of their powers and
functions in terms of various pieces of legislation. The legislation includes but is not
limited to the following, The Water Services Act 108 of 1997, The National Water Act
36 of 1998, The National Forest Act 84 of 1998, Waste Management Act 59 of 2008,
The White Paper for Sustainable Coastal Development (2000), The National
Biodiversity Strategy and Action Plan 2015 to 2005, The Integrated Coastal
Management Act, The National Heritage Resources Act 25 of 1999, Conservation of
Agricultural Resources Act 43 of 1983.
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The following key environmental issues currently exist in the Ngqushwa Local
Municipality area:
Development of the coastal areas are required as there is a lack of proper
access to the coastal areas for the public, which in many instances leads to
the destruction of dunes.
Due to the lack of refuse removal services and lack of sewerage systems,
pollution of rivers and estuaries are a problem which causes health risks.
As a result of the lack of municipal governance as well as infrastructure such
as roads, town planning and other infrastructure issues various environmental
problems arises such as, destruction of coastal forests, resource exploitation,
alien plant infestation, over-utilising of marine resources such as abalone and
line fishing.
There is also no cemetery management plan.
Corrective Action Plan
The focus of the Corrective Action Plan for the Ngqushwa Local Municipaity is to
successfully address and propose the deficiencies identified earlier in the research
and ultimately to ensure successful and sustainable service delivery within the area
of the Ngqushwa Local Municipality. The problem which is presently experienced in
relation to the Ngqushwa Local Municipality MTAS is the proper implementation and
monitoring and evaluation of the strategy. To realise improvement of service delivery
and to give effect to the MTAS, funding is required to firstly ensure infrastructure
development to enable the municipality to deliver services to its community.
Secondly it is imperative that procedures for the proper monitoring and evaluation of
the implementation of the strategy must be developed and strictly adhered to.
Amongst the infrastructure which is required the following needs to receive urgent
attention to enable the strategy to be implemented in its entirety and successfully are
as follow:
Roads to ensure proper and easy access to the villages;
122
Proper waste removal trucks to ensure efficient removal of waste within the
area;
Sanitation services and access to water;
Development of the beaches to attract tourists and to create jobs for the
people within the area, this will assist;
To ensure the infrastructure development sufficient funding is required. At present
there is not sufficient funding for infrastructure development or economic
development and large sections of the strategy can therefore not be implemented.
The solution to the problems listed above is contained in the MTAS namely the
establishment of a Project Management Office (PMO) within the office of the
Municipal Manager. Although the MTAS has come into effect, during 2017, the PMO
office has not yet been establish and there is at present no real intention by the
municipality to establish such offices. The fact that no PMO office will be established
will ultimately lead to the failure of the strategy.
It is critical to utilise a PMO as a special purpose vehicle with dedicated resources
and accountability; and making the turnaround execution someone’s “second job” is
counterproductive and places the success of the transformation at risk. The role of
the PMO will be to design, plan, co-ordinate, execute and monitor the
implementation of the Turnaround Plan and other developmental projects. The PMO
therefore needs to coordinate experts from required fields such as accounting,
engineering, HR, project management, change management, skills development,
funders, developers etc. (Delloite and Touch, 2015). Required work streams in the
PMO must be agreed, must be led by the subject matter expert and should be
aligned to priority areas for Ngqushwa Local Municipality towards 2022.
5.7 SUGGESTIONS FOR FURTHER RESEARCH
It is clear from the research that further research must be conducted in relation to the
following aspects of municipal service delivery and the challenges experienced in
relation thereto:
123
How to effectively separate the administrative function from the political
aspects of local government;
Possible amendments to the legislation to provide more protection to the
municipal managers in conducting their functions;
Possible amalgamation of district and local municipalities or de-establishment
of district municipalities, specifically in relation to municipal service delivery
and the amendments required in law to achieve this;
Implementation of project management offices in each municipality to ensure
that more funding can be raised for infrastructure development, local
economic development as well as socio-economic development in
communities;
5.8 CONCLUDING REMARKS
The research effort was conducted to gain insight into the challenges experienced in
relation to municipal service delivery in local municipalities in rural areas and to
assess if the municipal turnaround strategies can make a positive difference in
relation to municipal service delivery. The interview with the municipal manager of
the Ngqushwa Local Municipality identifies the most significant factor which is
required to improve service delivery in their area as financial resources. In order for
the turnaround strategy to succeed sufficient funding will be required to enable them
to give effect to the turnaround strategy. Without such funding it is clear that the
intention of the municipality as set out in the plan will not be achievable.
The chapter addressed the research questions and objectives, made representations
thereon and provided a corrective action plan for the Ngqushwa Local Municipality to
succeed in their turnaround strategy. Recommendations for further research were
made and practical solutions were suggested.
124
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TABLE OF LEGISLATION
Black Councils Act 79 of 1961
Black Local Authorities Act 102 of 1982
Constitution of the Republic of South Africa Act 110 of 1983
Division of Revenue Act
Municipal Structures Act 117 of1998
Municipal Systems Act 32 of 2000
Municipal Finance Management Act 56 of 2003
Group Areas Act 41 of 1950
Group Areas Act 79 of 1961
Intergovernmental Relations Framework Act 13 of 2005
Local Government: Municipal Structures Act (1998)
Local Government: Municipal Systems Act (2000)
The Local Government: Municipal Finance Management Act (2003)
The Constitution of South Africa 1996
The Republic of South Africa Constitution Act 32 of 1961
White Paper on Local Government 1998
138
APPENDIX A:
INTERVIEW QUESTIONS WITH THE MUNICIPAL MANAGER OF NGQUSHWA
LOCAL MUNICIPALITY
1) Can you provide us with some general information on the Ngqushwa
Municipality
2) Was there any substantial growth in service delivery for the period of 2011 to
2016?
3) When was the first Turnaround Strategy implemented in the Ngqushwa Local
Municipality?
4) What are the processes followed in the implementation of the turnaround
strategy?
5) Do you believe that the current strategy can be successfully implemented?
6) Do you see a political buy in with regard to the Turnaround Strategy?
7) What are the internal factors hampering the effective implementation of the
Turnaround Strategy?
8) What are the external factors hampering the effective implementation of the
Turnaround Strategy?
9) Has this strategy made a difference in the delivery of basic services in the
community?
10) In your opinion what are the major challenges which are experienced by
Ngqushwa Local Municipality?
11) Are these challenges hampering the economic development and growth?
12) Do you frequently have community protest actions in the municipal area and if
so, what is the course thereof?
13) Does the Ngqushwa Local Municipality engage with the public and actively
pursue a public participation process?
14) In terms of the Systems Act, municipal performance is deemed as crucial.
What systems does Ngqushwa have in place to monitor performance?
15) Do you have key performance indicators in place and if so, are they clearly
identified and communicated to all the interested parties.
16) How many of the municipal services are provided through internal systems
and how many are provided by external service providers?
139
17) Is any of the services provided by other municipalities or by the Amathole
District Municipality? And if so what is the pros and cons to each.
18) Are resources effective and efficient prioritised in areas of urgency and where
most needed;
19) What projects do you currently have in place in relation to Service Delivery
20) How does your turnaround strategy complement the Vision 2057?
21) Does the availability of resources influence the management of service
delivery performance?
22) What are your sources of revenue for the year 2018 to 2019?
23) What does the economy within Ngqushwa Local Municipality comprise of and
what is needed to grow the economy within Ngqushwa Local Municipality?
24) How many employees are employed at Ngqushwa Local Municipality? Are
they all equipped with the necessary skills and knowledge to perform their
work efficiently?
25) Do you have an Integrated Development Plan in place and has it been
successfully implemented?
26) Is it correct that the IDP is the vision of the municipality?
27) What is the municipal structure and how many committees and administrative
structures are in place and are they functional?
28) Does the political (legislative) leadership have the potential to impact
performance in the administrative function within the Ngqushwa Local
Municipality and if it exist why does it interfere?
29) Are there any political or council interference on your procurement processes?
30) Do you have an internal audit system and is it effective?
31) Are there at present any internal and/or external investigations in relation to
fraud or mismanagement within the municipality?
32) What can be changed within local government to achieve effective service
delivery to rural areas?
33) In terms of the Ngqushwa Local Municipality Turnaround Strategy a Project
Management Office (PMO) are to be established. Do you believe that the
proposed PMO will impact positively on service delivery within the area?
34) Do you have a local economic development programme and what does it
entail?
140
35) What does the agreement with the Canadian Municipal Federation entail?
36) Has there been a positive impact from the Canadian Trade Agreement as yet
and how does it assist with the implementation of the turnaround strategy?
37) Are there any mega projects which are currently being implemented?
141
APPENDIX B: TURNITIN REPORT
Chapter by Chapter submissions:
142
143
APPENDIX C: ETHICS CLEARANCE
144
145
APPENDIX D: DECLARATION BY CANDIDATE
NAME: Joelene Brown
STUDENT NUMBER: 202314138
QUALIFICATION: Masters in Business Administration
TITLE OF PROJECT: Assessing the Local Government Turnaround
Strategy (2009) and the Implementation Policy (2010)
focussing on municipal service delivery in rural
municipalities. Case Study: Ngqushwa Local
Municipality.
DECLARATION:
In accordance with Rule G5.6.3, I hereby declare that the abovementioned treatise /
dissertation / thesis is my own work and that it has not previously been submitted for
assessment to antoher University or for another qualification.
Signature: Joelene Brown
Date: 07 January 2019
146
APPENDIX E: PERMISSION TO SUBMIT TREATISE
PERMISSION TO SUBMIT OF TREATISE/DISSERTATION/THESIS FOR EXAMINATION
FACULTY: BUSINESS AND ECONOMIC SCIENCES SCHOOL/DEPARTMENT: BUSINESS SCHOOL DEGREE: MASTERS IN BUSINESS ADMINISTRATION SURNAME, INITIAL: JOELENE BROWN STUDENT NUMBER: 202314138
1. Has this treatise/dissertation/thesis been submitted with your knowledge and support?
Yes No
2. Submission Recommendation:
A. Permission Granted for submission for examination
B. Permission for submission for examination with reservation
C. Submission against advice of supervisor
3. Did the candidate research involve animal experimentation or human subjects as defined in
the Nelson Mandela University Policy on Ethics in Research?
YES NO
If yes, has clearance been obtained from the relevant Ethics Committee?
NOT APPLICABLE
07 January 2019 _______________________ _________________ SUPERVISOR DATE
147
APPENDIX F: PERMISSION TO SUBMIT FINAL COPIES OF TREATISE
PERMISSION TO SUBMIT FINAL COPIES
OF TREATISE/DISSERTATION/THESIS TO THE EXAMINATION
OFFICE
Please type or complete in black ink
FACULTY: BUSINESS AND ECONOMIC SCIENCES
SCHOOL/DEPARTMENT: BUSINESS SCHOOL
SUPERVISOR: PROFESSOR CHRIS ADENDORFF
STUDENT: JOELENE BROWN
STUDENT NUMBER: 202314138
I, PROFESSOR CHRIS ADENDORFF the supervisor of JOELENE BROWN, 202314138,
a candidate for the MASTERS IN BUSINESS ADMINISTRATION with a treatise entitled:
Assessing the Local Government Turnaround Strategy (2009) and the
Implementation Strategy (2010) focussing on municipal service delivery in rural
municipalities
Case study: Ngqushwa Local Municipality
It is hereby certified that the proposed amendments to the treatise have been effected and
that permission is granted to the candidate to submit the final bound copies of her
treatise to the examination office.
11 March 2019
SUPERVISOR DATE
