INTERGOVERNMENTAL RELATIONS AS A VEHICLE TO IMPROVE SERVICE DELIVERY AND IMPLEMENT BACK TO BASICS (B2B) PROGRAMME IN GAUTENG (CASE STUDY EMFULENI LOCAL MUNICIPALITY) By MR JABULANI HENRY KGOMO Student Number 2017437068 Submitted in partial fulfilment of the requirements in respect of the Master’s Degree Qualification Governance and Political Transformation in the Department Governance and Political Studies in the Faculty of the Humanities at the University of the Free State SUPERVISOR: Dr Tania Coetzee 2021 i DECLARATION I, Jabulani Henry Kgomo, hereby declare that the mini-dissertation that I herewith submit for the Master of Arts in Governance and Political Transformation at the University of the Free State, is my independent work, and that I have not previously submitted it for a qualification at another institution of higher education. I also declare that all reference materials used for this study have been properly acknowledged. STUDENT NAME: JABULANI HENRY KGOMO STUDENT NUMBER: 2017437068 ii ACKNOWLEDGEMENTS I would like to express my sincere gratitude to Dr Tania Coetzee for the assistance at every stage of the research study for her insightful comments and suggestions. The invaluable advice she gave me and continuous support for me to continue with each and every chapter of the study is invaluable. Her immense knowledge and plentiful experience have encouraged me at all times. I would like to thank Ms Carmen Nel and Ms Michelle Woolley for their technical and language editing of the document. I would also like to express my gratitude to my wife Mokgadi Kgomo, my mother, Maria Kgomo, my sister Tetile Mkhwanazi, and my daughters, Naledi Kgomo, Moroshadi Kgomo, Mmaphuthi Kgomo and Lesedi Kgomo. Without their tremendous understanding and encouragement during my studies, it would have been impossible for me to complete my studies. iii ABSTRACT The Back to Basics (B2B) Programme was launched in September 2014 by the Minister of CoGTA and it classified municipalities into three categories, namely, municipalities that are doing well, municipalities at risk of dysfunctionality and municipalities that are dysfunctional. The B2B Programme’s objective is to build a responsive, caring and accountable local government, which has the capacity to exercise its legislative imperatives effectively and efficiently. B2B operates within the framework of intergovernmental relations to achieve the objectives of service delivery. Intergovernmental relations is a platform that facilitates and coordinates the function of the B2B. The linkage between B2B takes place within the ambit of the applicable local government policy and legislation that guide implementation of programmes. The motivation of this study was underpinned by the relationship between intergovernmental relations and B2B to improve service in Emfuleni Local Municipality (ELM). The aims of the study were to investigate the role of intergovernmental relations as a platform to facilitate the implementation and improvement of service delivery. The research question is concerned with how effective intergovernmental relation structures are in achieving the objectives of the B2B Programme, which seeks to address service delivery challenges? The study combined an explanatory research and analytical research through a literature review of material on the same subject. The study discussed the profile of Emfuleni Local Municipality in terms successes and failures of service delivery within the context of B2B. The analysis and interpretation of the study were informed by the research objective and compliance with the Constitution no.108 of 1996 of the Republic of South Africa and applicable legislation. The focus was particularly concerned with service delivery to communities in a sustainable manner. The findings of the study indicated a lack of cooperation and ineffective intergovernmental relations structures. B2B could not achieve the objectives of service delivery through intergovernmental relations. The conclusion with the lessons learned, and the value of the study, recommend that all three spheres of government must collaborate in a coherent and a cohesive manner to deliver services within the context of B2B. Lack of cooperation and collaboration of intergovernmental relations structures in the implementation of B2B provide the answer to the research questions. iv Key words: Back to Basics (B2B) Programme, Emfuleni Local Municipality; Intergovernmental Relations (IGR), Service delivery v TABLE OF CONTENTS DECLARATION .................................................................................................................. I ACKNOWLEDGEMENTS .................................................................................................. II ABSTRACT ....................................................................................................................... III TABLE OF CONTENTS ..................................................................................................... V LIST OF TABLES ............................................................................................................ XIII LIST OF FIGURES ......................................................................................................... XIV LIST OF ABBREVIATIONS .............................................................................................. XV CHAPTER 1 : GENERAL ORIENTATION OF THE STUDY .................................................. 1 1.1 INTRODUCTION .................................................................................................... 1 1.2 BACK TO BASICS (B2B) PILLARS ......................................................................... 7 1.2.1 Putting people first and engaging with communities ......................................... 7 1.2.2 Delivering basic services.................................................................................. 8 1.2.3 Good governance ............................................................................................ 8 1.2.4 Sound financial management ........................................................................... 8 1.2.5 Building capabilities ......................................................................................... 8 1.3 MOTIVATION FOR THE STUDY ............................................................................. 9 1.4 THE RESEARCH PROBLEM ................................................................................ 12 1.4.1 Research questions ....................................................................................... 12 1.5 AIMS AND OBJECTIVES OF THE STUDY ........................................................... 13 1.6 RESEARCH METHODOLOGY ............................................................................. 13 1.6.1 Human life can only be understood from within .............................................. 14 1.6.2 Social life is distinctively a human product ..................................................... 14 1.6.3 The human mind is the purposive source or origin of meaning ...................... 14 1.6.4 Human behavior is affected by knowledge of the social world ........................ 15 1.6.5 Social world does not exist independently of human knowledge .................... 15 1.7 LAYOUT OF PRELIMINARY OF CHAPTERS ....................................................... 17 CHAPTER 2 : THE CONCEPTUAL FOUNDATION, LEGISLATIVE AND POLICY FOR INTERGOVERNMENTAL RELATIONS (IGR) AND BACK TO BASICS (B2B) PROGRAMME ........................................................................................................................................... 19 2.1 INTRODUCTION .................................................................................................. 19 2.2 HISTORICAL CONTEXT OF INTERGOVERNMENTAL RELATIONS (IGR) IN SOUTH AFRICA .............................................................................................................. 20 2.3 INTERGOVERNMENTAL RELATIONS (IGR) DURING THE INTERIM PHASE OF DEMOCRATIC NEGOTIATIONS ..................................................................................... 21 vi 2.4 INTERGOVERNMENTAL RELATIONS (IGR) PHASES IN A DEMOCRATIC SOUTH AFRICA .............................................................................................................. 21 2.5 OBJECTIVES OF INTERGOVERNMENTAL RELATIONS (IGR) ........................... 22 2.6 THE PRINCIPLES OF INTERGOVERNMENTAL RELATIONS (IGR) .................... 23 2.7 INTERGOVERNMENTAL RELATIONS (IGR) STRUCTURES .............................. 24 2.7.1 Presidential Coordinating Forum (PCF) ......................................................... 24 2.7.2 Minister MEC (MinMEC) ................................................................................ 25 2.7.3 Premier Coordinating Council (PCC) ............................................................. 25 2.7.4 District Forum ................................................................................................ 25 2.8 LEGISLATIVE FRAMEWORK ON INTERGOVERNMENTAL RELATIONS (IGR) . 26 2.8.1 Intergovernmental Relations Act no. 13 of 2005 ............................................. 27 2.8.2 The Local Government: Municipal Structures Act 117 of 1998 ....................... 27 2.8.3 The Local Government: Municipal Systems Act 32 of 2000 ........................... 29 2.8.4 The Local Government: Municipal Finance Management Act 56 of 2003 ....... 33 2.8.5 Public Finance Management Act No. 1 of 1999 (Fiscal Relations) ................. 36 2.8.5.1 Functions of the Budget Council ................................................................. 36 2.8.5.2 Functions of the Local Government Budget Forum ..................................... 37 2.8.5.3 Meetings of the Local Government Budget Forum...................................... 37 2.8.5.4 Process of equitable share ......................................................................... 37 2.8.6 National Environmental Management Waste Act No. 59 of 2008 (NEMWA) .. 38 2.8.6.1 National waste norms and standards.......................................................... 39 2.8.6.2 Provincial waste norms and standards ....................................................... 39 2.8.6.3 Municipal waste service standards ............................................................. 39 2.9 MUNICIPAL INFRASTRUCTURE GRANT ............................................................ 40 2.9.1 Purpose of Municipal Infrastructure Grant (MIG) ............................................ 41 2.10 MUNICIPAL SERVICE DELIVERY ........................................................................ 41 2.11 INTERGOVERNMENTAL RELATIONS (IGR) AND COOPERATIVE GOVERNANCE ............................................................................................................... 44 2.12 CHALLENGES OF INTERGOVERNMENTAL RELATIONS (IGR) ......................... 48 2.13 THE RECIPROCAL RELATIONSHIP BETWEEN INTERGOVERNMENTAL RELATIONS (IGR) AND BACK TO BASICS (B2B) PROGRAMME .................................. 49 2.14 INTERGOVERNMENTAL RELATIONS (IGR) AND INTEGRATED DEVELOPMENT PLANNING (IDP) ............................................................................................................. 54 2.15 CONCLUSION ...................................................................................................... 55 CHAPTER 3 : BACK TO BASICS (B2B) PROGRAMME ..................................................... 58 3.1 INTRODUCTION .................................................................................................. 58 vii 3.2 RATIONALE FOR IMPLEMENTATION OF BACK TO BASICS (B2B) PROGRAMME ............................................................................................................................. 59 3.3 CHALLENGES OF BACK TO BASICS (B2B) PROGRAMME ................................ 60 3.4 AIMS OF BACK TO BASICS (B2B) PROGRAMME ............................................... 63 3.5 STRATEGIES TO IMPLEMENT BACK TO BASICS (B2B) PROGRAMME ............ 64 3.6 LEGISLATIVE FRAMEWORK ON BACK TO BASICS (B2B) PROGRAMME ......... 65 3.7 ROLE OF THE OTHER SPHERES OF GOVERNMENT IN BACK TO BASICS (B2B) PROGRAMME ................................................................................................................ 68 3.8 CHALLENGES OF BACK TO BASICS (B2B) PROGRAMME ................................ 70 3.8.1 Putting people first and engaging with communities ....................................... 73 3.8.2 Delivering basic services and infrastructure development .............................. 74 3.8.3 Good governance .......................................................................................... 74 3.8.4 Sound financial management ......................................................................... 74 3.8.5 Building capabilities ....................................................................................... 75 3.9 PREVIOUS SUPPORT AND INTERVENTION PROGRAMMES IN MUNICIPALITIES ............................................................................................................ 76 3.9.1 Project consolidate support programme ......................................................... 77 3.9.2 Urban Renewal Programme and Integrated Sustainable Rural Development Programme .................................................................................................................. 78 3.9.3 Local Government Turnaround Strategy (LGTAS) ......................................... 79 3.10 PILLARS OF BACK TO BASICS (B2B) PROGRAMME ......................................... 81 3.11 ACHIEVEMENT OF BACK TO BASICS (B2B) PROGRAMME .............................. 83 3.12 CONCLUSION ...................................................................................................... 85 CHAPTER 4 : EMFULENI LOCAL MUNICIPALITY (ELM) CASE STUDY ........................... 87 4.1 INTRODUCTION .................................................................................................. 87 4.2 PROFILE OF EMFULENI LOCAL MUNICIPALITY (ELM) ...................................... 89 4.3 THE MUNICIPAL VISION STATEMENT ............................................................... 90 4.4 THE GOVERNANCE, ADMINISTRATIVE STRUCTURE AND FUNCTIONS OF THE MUNICIPALITY ............................................................................................................... 91 4.5 SOCIO-ECONOMIC AND DEVELOPMENT PROFILE .......................................... 95 4.6 EDUCATIONAL ATTAINMENT OF THE EMFULENI LOCAL MUNICIPALITY (ELM). ............................................................................................................................. 98 4.7 EMFULENI ORGANISATIONAL PERFORMANCE ............................................... 98 4.8 IMPLEMENTATION OF SECTION 139 OF THE CONSTITUTION NO.108 OF 1996 OF THE REPUBLIC OF SOUTH AFRICA IN EMFULENI LOCAL MUNICIPALITY (ELM) IN THE FINANCIAL YEAR 2018/2019 .................................................................................. 99 viii 4.9 EMFULENI LOCAL MUNICIPALITY FINANCIAL RECOVERY PLAN (ELM FRP) 2018 ........................................................................................................................... 101 4.9.1 Summary of status quo in Emfuleni Local Municipality (ELM) ...................... 103 4.9.1.1 Pillar 1: Putting People First ..................................................................... 103 4.9.1.1.1 Challenges ........................................................................................... 105 4.9.1.2 Pillar 2: Basic service delivery and infrastructure ...................................... 105 4.9.1.2.1 Electricity.............................................................................................. 108 4.9.1.2.2 Challenges of electricity ....................................................................... 109 4.9.1.2.3 Water and sanitation ............................................................................ 109 4.9.1.2.4 Challenges of water and sanitation....................................................... 111 4.9.1.2.5 Road maintenance ............................................................................... 112 4.9.1.2.6 Challenges of road maintenance .......................................................... 114 4.9.1.2.7 Solid waste management ..................................................................... 115 4.9.1.2.8 Challenges of solid waste ..................................................................... 115 4.9.1.3 Pillar 3: Good governance ........................................................................ 116 4.9.1.3.1 Challenges of governance .................................................................... 121 4.9.1.4 Pillar 4: Sound financial management ...................................................... 121 4.9.1.4.1 Challenges of financial management .................................................... 126 4.9.1.5 Pillar 5: Building institutional capabilities .................................................. 126 4.9.1.5.1 Organisational structure and human resources management............... 127 4.9.1.5.2 Challenges of institutional capability ..................................................... 130 4.10 HUMAN SETTLEMENT DELIVERY IN EMFULENI LOCAL MUNICIPALITY (ELM) ... ........................................................................................................................... 131 4.11 INTERGOVERNMENTAL RELATIONS (IGR) AND STRUCTURES .................... 132 4.12 EMFULENI LOCAL MUNICIPALITY (ELM) ANNUAL PERFORMANCE REPORT 2019/2020 ..................................................................................................................... 135 4.13 NCOP SELECT COMMITTEE ON COGTA AND HUMAN SETTLEMENT LOCO INSPECTION VISIT TO EMFULENI LOCAL MUNICIPALITY (ELM) .............................. 139 4.13.1 MEC MAILE presentation on Section 139 intervention in Emfuleni Local Municipality (ELM) in as prescribed by the Constitution No. 108 of 1996 of the Republic of South Africa ........................................................................................................... 140 4.14 INTERGOVERNMENTAL RELATIONS (IGR) STRUCTURES AND COOPERATIVE GOVERNANCE INTERVENTIONS IN EMFULENI LOCAL MUNICIPALITY (ELM) ........ 143 4.14.1 Role of different spheres of government of Government in Emfuleni Local Municipality (ELM) ..................................................................................................... 143 4.14.1.1 City of Johanessburg Metro Municipality, Ekhurleni Metro Municipality and Midvaal Local Municipality ...................................................................................... 144 ix 4.14.1.2 Emfuleni Local Municipality’s Departments of Human Settlements, Water and Sanitation ........................................................................................................ 144 4.14.1.3 Department of Water and Sanitation (DWS) ............................................. 144 4.14.1.4 The Department of Cooperative Governance and Traditional Affairs (National and Provincial)........................................................................................................ 145 4.14.1.5 Department of Environmental Affairs ........................................................ 146 4.14.1.6 Rand Water .............................................................................................. 146 4.14.1.7 National Treasury ..................................................................................... 146 4.14.1.8 South African National Defence Force ...................................................... 147 4.14.1.9 The Save the Vaal Environment organisation ........................................... 148 4.15 INTERVENTION IN THE VAAL RIVER POLLUTION ........................................... 148 4.16 CONCLUSION .................................................................................................... 148 CHAPTER 5 : ANALYSIS AND INTERPRETATION OF THE STUDY............................... 150 5.1 INTRODUCTION ................................................................................................ 150 5.2 RECALLING RESEARCH OBJECTIVES ONE: CONCEPTUAL AND LEGAL FRAMEWORK FOR COOPERATIVE GOVERNANCE AND INTERGOVERNMENTAL RELATIONS (IGR) AND RELATIONSHIP WITH BACK TO BASICS (B2B) PROGRAMME IN GAUTENG ................................................................................................................ 151 5.3 RECALLING THE RESEARCH OBJECTIVE TWO: THE CHALLENGES AND PROBLEMS OF INTERGOVERNMENTAL RELATIONS (IGR) ON SERVICE DELIVERY ... ........................................................................................................................... 154 5.3.1 Putting people first ....................................................................................... 155 5.3.2 Basic service delivery and infrastructure ...................................................... 156 5.3.3 Good governance ........................................................................................ 158 5.3.4 Financial Management ................................................................................. 160 5.4 RECALLING THE THIRD OBJECTIVE: THE EFFECTIVENESS OF BACK TO BASICS PROGRAMME (B2B) TO IMPROVE SERVICE DELIVERY .............................. 161 5.4.1 Putting people first ....................................................................................... 161 5.4.2 Basic service delivery and infrastructure ...................................................... 162 5.4.2.1 Household access to electricity ................................................................ 162 5.4.2.2 Provision of water and sanitation .............................................................. 163 5.4.2.3 Roads and storms water........................................................................... 164 5.4.2.4 Waste management ................................................................................. 166 5.5 RECALLING THE FOURTH OBJECTIVE: TO ANALYSE THE INTERGOVERNMENTAL RELATIONS (IGR) MECHANISMS THAT ARE APPROPRIATE IN THE IMPLEMENTATION OF BACK TO BASICS (B2B) PROGRAMME ..................... 167 5.5.1 Gauteng CoGTA .......................................................................................... 168 x 5.5.2 Gauteng Department of Human Settlement ................................................. 168 5.5.3 Department of Water and Sanitation (DWS)................................................. 169 5.5.4 Department of Environmental Affairs ........................................................... 170 5.5.5 City of Johannesburg Metro Municipality, Ekurhuleni Metro Municipality and Midvaal Local Municipality ......................................................................................... 170 5.5.6 Rand Water ................................................................................................. 171 5.5.7 National Treasury ........................................................................................ 171 5.6 CONCLUSION .................................................................................................... 172 CHAPTER 6 : FINDINGS, RECOMMENDATIONS AND CONCLUSIONS OF THE STUDY ......................................................................................................................................... 173 6.1 INTRODUCTION ................................................................................................ 173 6.2 OVERVIEW OF THE STUDY .............................................................................. 174 6.2.1 Overview of the Chapter 1 ........................................................................... 174 6.2.2 Overview of the Chapter 2 ........................................................................... 174 6.2.3 Overview of the Chapter 3 ........................................................................... 175 6.2.4 Overview of the Chapter 4 ........................................................................... 176 6.2.5 Overview of Chapter 5 ................................................................................. 176 6.2.6 Overview of Chapter 6 ................................................................................. 176 6.3 RECALLING OF THE STUDY OBJECTIVES AGAINST THE FINDINGS OF THE STUDY .......................................................................................................................... 177 6.3.1 Recalling research objectives one on the findings study: Conceptual and legal framework for cooperative governance and intergovernmental relations and relationship (IGR) with Back to Basics (B2B) Programme in Gauteng ........................................... 177 6.3.1.1 Lack of cooperation and collaborations between spheres of government . 177 6.3.1.2 Insufficient provincial supervision and coordination of support measures . 178 6.3.1.3 Organisational learning deficiency ............................................................ 178 6.3.1.4 Ad hoc support and intervention measures............................................... 179 6.3.1.5 Lack of availability of IGR structures......................................................... 179 6.3.2 Recalling the research objective two on the findings of the study: The challenges and problems of intergovernmental relations (IGR) on service delivery .... 180 6.3.2.1 Putting people first.................................................................................... 180 6.3.2.2 Non-functionality of ward committees ....................................................... 180 6.3.2.3 Lack of meaningful public participation ..................................................... 181 6.3.2.4 Basic service delivery and infrastructure .................................................. 181 6.3.2.4.1 Poor inter-municipal support and cooperation ...................................... 181 6.3.2.4.2 Insufficient resources and infrastructure for population growth ............. 181 xi 6.3.2.4.3 Lack of partnership in the management of Sedibeng Regional Sewer Scheme 182 6.3.2.4.4 Insufficient enforcement of environmental laws .................................... 182 6.3.2.4.5 Lack of competencies to manage inter-governmental grants ................ 182 6.3.2.4.6 Low level of commitment to address sanitation challenges .................. 183 6.3.2.4.7 Lack of availability of vehicles for service delivery matters ................... 183 6.3.2.5 Good governance ..................................................................................... 183 6.3.2.6 Financial management ............................................................................. 184 6.3.2.6.1 Electricity losses................................................................................... 184 6.3.2.6.2 Water losses ........................................................................................ 184 6.3.3 Recalling the third research objective: Findings on the effectiveness of Back to Basics (B2B) Programme to improve service delivery ................................................ 185 6.3.4 Recalling the fourth research objective: findings of the intergovernmental relations (IGR) mechanisms that are appropriate in the implementation of Back to Basics (B2B) Programme ........................................................................................... 186 6.3.4.1 Human settlements .................................................................................. 186 6.3.4.2 Department of Environment and Department of Water and Sanitation (DWS) ................................................................................................................. 187 6.3.4.3 Provincial government .............................................................................. 187 6.4 RECOMMENDATIONS ....................................................................................... 187 6.4.1 Lack of coordination and cooperation in Intergovernmental relations (IGR) . 187 6.4.2 Organisational learning in Emfuleni Local Municipality (ELM) ...................... 188 6.4.3 Provincial support and intervention in Emfuleni Local Municipality (ELM) .... 188 6.4.4 Visibility of IGR structures ............................................................................ 189 6.4.5 Non-functionality of ward committees........................................................... 189 6.4.6 Public participation ....................................................................................... 189 6.4.7 Service delivery and infrastructure ............................................................... 190 6.4.7.1 Facilitate horizontal IGR ........................................................................... 190 6.4.7.2 Population growth..................................................................................... 190 6.4.7.3 Sedibeng Sewer Scheme ......................................................................... 190 6.4.7.4 Municipal infrastructure grant expenditure ................................................ 191 6.4.8 Governance and institutional matters ........................................................... 191 6.4.9 Finance and revenue matters ...................................................................... 191 6.5 VALUE OF THE STUDY...................................................................................... 192 6.6 THE EMERGING ISSUES AND LESSON LEARNED .......................................... 193 6.7 THE OUTCOME OF THE STUDY ....................................................................... 193 6.8 CONCLUSION .................................................................................................... 193 xii BIBLIOGRAPHY ............................................................................................................ 196 APPENDICES ............................................................................................................... 211 LETTER FROM LANGUAGE EDITOR ....................................................................... 211 TURN IT IN RECEIPT AND REPORT ........................................................................ 212 xiii LIST OF TABLES Table 2.1: Key municipal basic services .............................................................................. 43 Table 2.2: Roles and functions of spheres of government in Back to Basics (B2B) Programme ......................................................................................................................... 51 Table 2.3: IDP process ........................................................................................................ 54 Table 4.1: Demographic profile of ELM ............................................................................... 93 Table 4.2: People living with disability in ELM ..................................................................... 94 Table 4.3: Emfuleni Sector contribution ............................................................................... 95 Table 4.4: Employment status ............................................................................................. 96 Table 4.5: Child-headed household ..................................................................................... 98 Table 4.6: Public participation platforms ............................................................................ 104 Table 4.7: Basic services and physical infrastructure ........................................................ 106 Table 4.8: Statistical information on existing infrastructure ................................................ 113 Table 4.9: Details of roads expenditure ............................................................................. 113 Table 4.10: Governance and oversight ............................................................................. 118 Table 4.11: Financial control and expenditure management ............................................. 122 Table 4.12: Vacancy rates................................................................................................. 129 Table 4.13: IGR partnerships and cooperative governance ............................................... 133 Table 4.14: ELM in terms of KPAs .................................................................................... 137 Table 4.15: Financial management with regard to the status of debt ................................. 141 Table 5.1: Electricity provision ........................................................................................... 162 xiv LIST OF FIGURES Figure 3.1: Municipal Support programmes (Source: Secondary source of Practitioners Guide to the Intergovernmental Relations System in South Africa, 2007 as cited by Mdliva, 2012:38) ........................................................................................................................................... 78 Figure 3.2: Access to basics services for household in 2001 and 2011 (Source: Secondary source of Stats SA Census data) ........................................................................................ 84 Figure 4.1: Emfuleni Local Municipality map (Source: ELM FRP, 2018) .............................. 90 Figure 4.2: The Political and administration structure of ELM (Source: ELM IDP, 2017/2018) ........................................................................................................................................... 92 Figure 4.3: Population distribution by population group (Source: Adapted from secondary source of ELM IDP, 2017/2018) .......................................................................................... 93 Figure 4.4: ELM Annual Household Income in 2001 and 2011 (Source: Secondary source from ELM IDP, 2020/2021).......................................................................................................... 96 Figure 4.5: ELM Annual Household Income by Gender of Head of Household in 2011 (Source: Secondary source from ELM IDP, 2020/2021) .................................................................... 97 xv LIST OF ABBREVIATIONS B2B Back to Basics Programme CoGTA Cooperative Governance and Traditional Affairs DWS Department of Water and Sanitation ELM FRP Emfuleni Local Municipality Financial Recovery Plan ELM IDP Emfuleni Local Municipality Integrated Development Plan ELM Emfuleni Local Municipality FRC Financial Recovery Plan IDP Integrated Development Planning IGR Intergovernmental Relations KPAs Key performance indicators MEC Member of Executive Council MFMA Municipal Finance Management Act no.32 of 2000 MIG Municipal Infrastructure Grant MinMEC Minister and Member of Executive Council MSA Municipal Structures Act. No 117 of 1998 MSA Municipal Systems Act No.32 of 2000 NCOP National Council of Provinces NEMWA National Environmental Waste Management Act No. 59 of 2008 PCF Premier Coordinating Council PCF Presidential Coordinating Forum SAHRC South African Human Rights Commission 1 CHAPTER 1 : GENERAL ORIENTATION OF THE STUDY 1.1 INTRODUCTION Intergovernmental relations (IGR) are about the relationships between spheres of government in planning, coordination and response to service delivery imperatives. The definition goes further to encompass government relations with external factors that are critical stakeholders in development and service delivery. The Constitution of the Republic of South Africa (Act 108 of 1996) states that IGR are the basic interactions within and between spheres of government with regard to exclusive and concurrent functional areas. The reciprocal relationship between spheres of government in delivering services is defined as IGR. These relations and interaction are regulated by the supreme legislation referred to as the Constitution of the Republic of South Africa (van der Waldt, 2003:166). Van der Waldt (2003) cites Chapter 3 of the Constitution no.108 of 1996 of The Republic of South Africa, which provides the guidelines as enabler to deal with challenges of good governance, policy co-ordination, efficient and effective delivery of services and management of public resources. Phakathi (2016:20) concurs with van der Waldt (2003:166) that in a constitutional approach the constitution and legislative provision are crucial in governmental relations. The constitutional/legal approach entails analysis of structural and hierachieral analysis of the Constitution and legislations that concern relations between government institutions. IGR are enacted in section 40 of the Constitution no.108 of 1996 of the Republic of South Africa. This framework facilitated the enactment of Intergovernmental Relations Act no.13 of 2005 (IGFRA). Phakathi (2016:23) articulates the four categories upon which IGR are divided: (1) IGR, which is a relationship between government departments; (2) Intra-governmental relations, which is a relationship within the government departments (3) Extra- governmental relations, which is a relationship between government departments and communities or civil society organisations (4) Interstate relations, which is a relationship between sovereign states. 2 Kahn, Madue and Kalema (2016:11-14) discuss the vertical IGR that is a relationship between different spheres of government. It involves the relationship between national government, provincial government and local government. Power relations form the bedrock of this relationship, given that the national government has dominant powers over the other two spheres of government. National government is in control of resources allocation and the priorities for delivery. Kahn et al. (2016:11-14) outline the intergovernmental horizontal relations, which entail relations between executive government institutions of equal hierarchic that are headed by the executive ministers. Intra-governmental relations are a relationship between the Executive Ministry and Cabinet. Extra-governmental relations entail a relationship in which government promotes and advances the norms of the society in engagement. Gaoretelelwe (2017:47) concurs with Kanh et al. (2016) and cites Levy and Tapscott (2001:26) that the national-provincial, provincial-local and national-local constitute the vertical components of IGR as different spheres of government who engage to achieve their objectives and the objectives of municipalities. According to Levy and Tapscott (2001:17–26), it is the interaction between government institutions of the same level of hierarchy. Inter-provincial or inter-local government spheres are referred to as horizontal relations or IGR. IGR are imperative to provide traction to service delivery in all spheres of government. Ile (2010:53) agrees with Levy and Tapscott (2001:17-26) that IGR and cooperative government provide a mechanism for different spheres of government to participate effectively in the execution of their constitutional responsibilities, however, the relationship is both vertically and horizontally. Haurovi (2012:7) articulates that the 1994 democratic dispensation facilitated the establishment of three spheres of government that are interdependent, interrelated and distinctive. The national government carries more autonomy, power and authority over the other spheres of government, whereas the provincial government and local government have executive and legislative powers in their own respect. This arrangement has created a governance system which consists of one national government, nine 3 provincial governments and 283 municipalities that constitute local government in South Africa. The three spheres of government are established in terms of Chapter 3 of Section 140 of the Constitution no.108 of 1996 of the Republic of South Africa, which provides for IGR. Leonard and Brand (2010:657) emphasize the view of three spheres of government and that the Constitution no. 108 of 1996 of the Republic of South Africa provides for provincial government to have its own constitution and exclusive powers on concurrent functions. However, if there is a conflict between national legislation and provincial legislation, the national legislation prevails in terms of section 146,148 and 150 of the Constitution no.108 of 1996 of the Republic of South Africa. Kahn et al. (2016:31) argue that the power and authority is centralised at the national level in a unitary state system. Provincial government and local government are subjected to national control through legislation and policies. However, the South African governance system has both features of a unitary state and a federal state. However, Kanh et al. (2016:31) put emphasis that it is difficult to determine whether the Republic of South Africa is a unitary or federal system, given that provinces have strong federal features, e.g. provincial governments can exercise legislative authority and collect revenue for some services rendered to the public. Sokhela (2006:62) illustrates examples of federal features in the Constitution no.108 of 1996. The Constitution establishes all spheres of government and gives them powers in terms of Section 40(1) and Section 41 of the Constitution no. 108 of 1996 guarantees autonomy of each sphere. In contrast, Section 155(7) of the Constitution no.108 of 1996 states that national and provincial government have legislative and executive powers over municipalities in respect of matters related to schedule 4 and 5. Provincial government and local government have powers to legislate on concurrent functions, such as health, housing and education. National government passes legislation and policies. The provincial government has an equal responsibility to pass legislation and policy frameworks for implementation of service delivery in conjunction with local government. 4 Levy and Tapscott (2001:67) stipulate Section 40(1) of Constitution no.108 of 1996 of the Republic of South Africa, which stipulate three spheres of government, national government, provincial government and local government and that each sphere of government is distinctive, interrelated and interdependent. Schedule 4 and 5 of the Republic of South African Constitution no.106 of 1996 provide for concurrent function and powers between spheres of government. Craythorne (2006:14-15), as cited in Pietersen (2017:2), gives clarity that the different spheres of government are ‘distinctive’ as they function separately from each other, “interdependent” as they should respect each other’s roles and responsibilities and interdependent, as each sphere has links with different spheres in the country to function. Section 41(1) of the Constitution of the Republic of South Africa no. 108 of 1996 states that the different spheres of government must give support to the other spheres. Geldenhuys (2005:54) cites Section 40(1-2) in Chapter 3 of The Constitution no. 108 of 1996 of The Republic of South Africa that explains that government in South Africa is constituted of national, provincial and local spheres of government. Geldenhuys (2005:54) affirms the view that the three spheres are distinctive, interdependent and interrelated. In their specific environments, they must comply with the principles of Chapter 3. The principle of co-operative governance should guide the conduct their activities of government and IGR. Section 41(1) of the Constitution of the Republic of South Africa no. 108 of 1996 is the pinnacle of Section 154 that stipulates that “The national government and provincial government, by legislative and other measures, must support and strengthen the capacity of municipalities to manage their own affairs, to exercise their powers and to perform their functions”. Hence, Dlanjwa (2013:12) insinuates that national priorities and developmental objectives find expression at local government. Local government should facilitate national plans and strategies as it is the sphere that is closest to the people. It is therefore of paramount importance for national and provincial spheres to have suitable conditions and commitments to facilitate the national objectives (Dlanjwa, 2013:12) Craythorne (2006:14-15), as cited in Pietersen (2017:2), refers to Section 155 (6) of the Constitution of the Republic of South Africa that the provincial sphere should support local 5 government. Section 155 of the Constitution no. 108 of 1996 of The Republic of South requires the provincial government to monitor the performance of municipalities. “Monitoring occurs when one sphere measures the compliance of another sphere with legislative directives. Both national and provincial governments have a constitutional duty to monitor local government. The Constitution no. 108 of 1996 provides in Section 155 (6) (a) that provincial governments must provide for the monitoring and support of local government in the province. Section 155 (7) of the Constitution provides that national and provincial governments must see to the performance of municipalities”. Whereas Section 105 (1) of the Municipal Systems Act no. 117 of 2000 stipulates that “[t]the MEC for local government in a province must establish mechanisms, processes and procedures in terms of Section 155(6) of the Constitution to - (a) Monitor municipalities in the province in managing their own affairs, exercise their powers and perform their functions; (b) Monitor the development of local government capacity in the province; and (c) Assess the support needed by municipalities to strengthen their capacity to manage their own affairs, exercise their powers and perform their function” (Mdliva, 2012:34). Hattingh (1998:4) emphasizes that as the responsibility of spheres of government increases, the more relations internally and externally of government become more complex and complicated to manage. These complex relations necessitate cooperate governance between spheres of government in the execution of service delivery. Gildenhuys (1993:409) puts emphasis that cooperative governance is a mechanism through which IGR find expression between different spheres of government. Integration and alignment of service delivery programmes are an essential element to ensure an effective intergovernmental relation. Motingoe (2012:59) shares the view that cooperative governance and IGR are a mechanism that coordinates and integrates government departments, organs of state and municipal service delivery activities. An effective intergovernmental relation requires spheres of government to establish partnerships in a spirit of cooperation. Van der Waldt (2018:17) affirms that the 6 establishment of the principles of cooperative governance are an essential element to protect the local government being reduced into an agent of the national and provincial government. It makes reasonable sense to give more powers and authority to local government as it is closer to communities compared to the other two spheres of government. Gildenhuys (1993:409) supports the assertion that the roll-out of bulk service delivery of differentiated nature that are executed by various government departments, cannot be done in a silo approach or disintegrated fashion. It is therefore noted that service delivery requires coherent planning, budgeting, alignment and proper coordination. Parnell, Pieterse, Swilling and Wooldridge (2002:80) refer to the autonomous system of local government that provides bulk infrastructure, economic development programmes, provision of subsidies and spatial planning to address human settlements. Human settlement is often confused and specifically defined within the connotation of housing delivery, however, human settlement is about the availability and provision of integrated services and development within a particular space. This encompass on the availability of schools, clinics, libraries, police stations, emergency services, etc. Senoamadi (2014: iii) emphasizes in his abstract that human settlement improves the lives of communities, as it brings along integrated services like education, recreation, healthcare, electricity, economic opportunities and other community amenities. Human settlement therefore calls for the role of other spheres of government to deliver on their mandate within the local government’s spatial planning and integrated development. Integrated development planning (IDP) is a five-year vision that specifically outlines the development traction of the Municipality in a holistic approach. Each sphere of government must align its development programmes in line with the municipal vision. Mbecke and Mokoena (2016:100) highlights that for IDP to be successful, it requires collaboration, coordination and cooperation of different spheres of government. This includes civil society organisations and the communities. 7 Solomons (2016:12) articulates the legislative provision for municipalities to develop IDP in their area of jurisdictions. Solomon (2017:12) further refers to Section 29(1) (b) (i) and (II) of the Municipal Systems Act no. 117 of 2000, which states that: (a) The local communities should be consulted on its development needs and priorities; and (b) The local communities to participate in the drafting of the integrated development plan. Different spheres of government have a constitutional responsibility to deliver on their mandate. Each sphere cannot carry out its mandate in isolation, however, it needs to collaborate with other spheres to partner in the implementation of development programmes and service delivery. However, Cloete and Thornhill (2005:58) refer to Section 41 (i)(e) of the 1996 Constitution no.108 of the Republic of South Africa, which provides for the respect of status of each sphere of government, irrespective of the requirement for national coordination to prevent conflict of interest and policies. IGR in a nutshell, is fundamental to bring about planning, budgeting, coordination, alignment and streamlining service delivery in a coherent and cohesive manner, e.g. IDP’s are a critical instrument of alignment and coordination between spheres of government and other development agents. IGR planning processes take place within the context of Back to Basics (B2B) Programme. The Minister of the Department of Cooperative Governance and Traditional Affairs, Mr Pravin Gordhan’s, presentation (2014b) indicates five pillars of B2B Programme. The following are the pillars of B2B. 1.2 BACK TO BASICS (B2B) PILLARS 1.2.1 Putting people first and engaging with communities This about meeting the needs of the community and participation of communities in governance matters, e.g. establishment of ward committee systems in municipalities. 8 1.2.2 Delivering basic services Municipalities should provide basic services like electricity, water, sanitation, solid waste removal, provision of road infrastructure and social infrastructure. For instance, refuse removal, grass-cutting and road maintenance are some of the basic services that municipalities are mandated to provide. 1.2.3 Good governance This entails regular meetings of the council, functioning of portfolio committees, ethical conduct of councilors and officials, as well as accountability, transparency and the rule of law in council decision making, e.g. portfolio committees deliberating on matters and making recommendations to council for a resolution. 1.2.4 Sound financial management This entail the passing of the council budget, proper, financial reporting systems, internal controls systems, internal auditing, revenue collection, supply chain management, e.g. the council must pass the budget before the beginning of the financial year in July. 1.2.5 Building capabilities This is about filling of vacant positions at a senior management level and at lower level of service delivery. It is also about the availability of financial management skills, technical skills and engineering skills. The development of human resources policies and strategies, e.g. municipalities should recruit competent and skilled staff to serve the communities. The aforementioned pillars form the foundation for B2B Programme. The pillars were developed in line with the vision of White Paper on Local Government. 9 1.3 MOTIVATION FOR THE STUDY There is a reciprocal relationship between intergovernmental relations and B2B. Service delivery can be improved if there are effective IGR structures. The research study on IGR as a vehicle to B2B is important to improve cooperation of different spheres of government to build the capacity of local government to meet the needs of the community. This entail good governance, viable financial status, competent and skilled human resources, infrastructure development and maintenance, service delivery, responsiveness and meaningful public participation. The research on this topic could assist to find a solution to the IGR capacity challenges faced by local government in Gauteng. This could overcome the obstacles that hamper B2B Programme to become an effective intervention and support mechanism to turn around the status quo in municipalities. The findings of the study could shape IGR to become an effective platform for B2B in Gauteng to make a positive impact in municipalities. This can lead to further research based on the recommendations of the study. The study would assess the structures, systems and processes of IGR to support the roll- out of B2B Programme in Emfuleni Local Municipality (ELM). IGR and cooperative governance facilitate a platform for B2B Programme to achieve the indicators of the B2B pillars. IGR could facilitate cooperative agreement between government organs, while cooperative governance forms a conduit for B2B Programme to propel faster. IGR structures form a bedrock for B2B Programme. The President Coordination Committee, the Premier Coordination Forum, MinMeC, and Provincial Executive Councils are the highest structure of intergovernment in which B2B Programme finds expression. However, Kahn et al. (2016:123) are of the view that the Promulgation of Intergovernmental Relations Act no. 13 of 2005 could not resolve some of the challenges of IGR, e.g. the role of provincial government in monitoring and supporting municipalities, as at times it is very murky, particularly the role of provincial government in supporting municipalities, given the reality that municipalities have a myriad of challenges that require interventions of the national government and the provincial government. 10 White Paper on Local Government (1998) states that “It is clear that national government is increasingly looking to local government as a logical point of coordination and a necessary vehicle for the implementation of policies and programmes. Provincial governments are also decentralising certain functions to local government. At the same time, local government is constitutionally obliged to participate in national and provincial development programmes. It is also clear that the policies and programmes of other spheres have wide-reaching implications for local government, and can potentially have a positive impact on municipal capacity and a strong synergy with municipal programmes. National and provincial government can build local government capacity through the way they execute their own programmes, and enhance the effectiveness of both. Some of the ways in which this can happen are:  Working with local government directly: If national and provincial departments commit themselves to working through local government directly, substantial resources could be made available to municipalities to conduct their constitutionally assigned powers and functions. Depending on the nature of the funding, it may contribute significantly to local government’s institutional development, as well as general development and delivery programmes. Municipalities often find themselves working in parallel with a range of local offices of government departments. The activities of these parallel structures are sometimes difficult to incorporate into integrated development plans, and may also undermine the authority of local government to govern within its area of jurisdiction. If local government is to govern effectively and play an integrating, coordinating role at the local level, some of the activities of these structures may need to be brought under local government authority.  Integrating programmes into municipal integrated development plans: Municipalities are expected to develop local infrastructure investment plans on the basis of integrated development plans. However, national and provincial departments have major infrastructure programmes of their own, which are not always executed with the active and informed participation of municipalities. Some of these national and provincial investments may impose unforeseen future costs on municipalities. Integrated planning is needed to coordinate national, provincial 11 and local investments in municipal areas of jurisdiction, to ensure that scarce resources are utilised for maximum impact.  Coordinated decentralisation and the assignment of powers: National and provincial government are constitutionally permitted to devolve powers and functions to local government. While decentralisation is often desirable to improve the effectiveness of government as a whole, it is not without problems. The devolution of a new function to local government may occur without it being accompanied by the financial and administrative capacity required to sustain it, what is termed an unfunded mandate. Unfunded mandates strain local government's limited resources and, ultimately, result in a lack of delivery.” The Practioner’s Guide to Intergovernmental Relations (DPLG, 2008), outlines the constitutional imperatives to create harmonious relations through the channels of communication as a primary reason of the overall IGR structures to exist. Critical to the goal of the structures is to reach a common goal through cohesion in the execution of a common economic plan. Due to the silo approach of provincial departments, coherence is a far-fetched idea. Cooperative forum is of vital importance to discuss inconsistent departmental policies or practice, decentralization, consultation on monitoring policies and procedures, and issues of autonomy like powers and functions. Inclusive approach can be attained by all stakeholders as a consultative body rather than a governing structure. Ramogayane (2019:4) postulates a compelling case about the significance of IGR and indicates that IGR was a consequence of failure of a centralization system and centralization is of vital importance to promote government responsiveness and effectiveness in delivery of services in the public service sector. Ramogayane (2019:4) further explains the theory and significance behind IGR, as well as the efficiency and economics of public service. The theory identified important consideration in the design of government systems and allocation of functions between spheres of government. The baseline of this theory is fiscal decentralization that is underpinned by a decentralized system of government. Firstly, the rationale behind this theory is that decentralization promotes efficient allocation and use of resources at a local government level to meet the 12 needs of the community and improve service delivery. Secondly, decentralization promotes good governance to satisfy the community needs. Ramogayane (2019:4) emphasizes that the case for decentralization enhances experimentation and learning. The question of allocation of powers and functions are succinctly defined for effectiveness and better service delivery to communities. 1.4 THE RESEARCH PROBLEM Local Government SETA Research Report (2019) explains the reciprocal relationship between IGR and B2B Programmes. However, the Parliament Select Committee on Cooperative Governance and Traditional Affairs Report (2018) paints a bleak picture on the affairs of ELM. The ELM has been facing major economic, financial, governance, institutional and service delivery challenges over the past few years. The Select Committee Report (2019) explains that ELM is beset by major economic, financial, governance, institutional and service delivery challenges over the previous years. This compelled the Gauteng Cabinet to implement a mandatory Section 139 (1)(b)(i) and Section 139 (5) (a) of the Constitution, in conjunction with Section 139(1) of the MFMA. The Section 139 intervention took place without dissolving the existing council. 1.4.1 Research questions (a) How effective are intergovernmental relations (IGR) structures and functionality in the Municipality? (b) What is the role of other spheres of government in service delivery in Emfuleni Local Municipality (ELM)? (c) To what extent has the implementation of the B2B Programme in Emfuleni Local Municipality (ELM) been addressed the long-standing challenges of service delivery? 13 1.5 AIMS AND OBJECTIVES OF THE STUDY The aims of the study were to investigate the role of IGR as a platform to facilitate the implementation and improvement of service delivery and to establish the impact made by the intervention through B2B Programme. The aims combined an explanatory research and analytical research. Babbie and Mouton (2001:81) postulate that the explanatory questions seek a detailed explanation of why things occur in the situation or the phenomenon. It attempts to find the reasons as to why things occur and find a solution. Sarma and Misra (2006:1-2) articulate that the analytical question collates information and analyses it and critics the information in comparison to what is already researched in the study. The study sought to interrogate collaboration, coordination, cooperation, planning, budgeting and responsiveness between spheres of government in the implementation to improve service delivery and how is B2B Programme implemented. The objectives of the study were the following: 1. To identify a conceptual and legal framework for cooperative governance and intergovernmental relations (IGR) and the relationship with Back to Basics (B2B) Programme in Gauteng. 2. To assess the effectiveness and functionality of intergovernmental relations structures in Emfuleni Local Municipality (ELM). 3. To investigate the challenges and problems of intergovernmental relations (IGR) on service delivery. 4. To establish on how effective Back to Basic (B2B) Programme is. 5. To identify mechanisms that can be appropriate for intergovernmental relations (IGR) and implementation of Back to Basic (B2B) Programme. 1.6 RESEARCH METHODOLOGY Research methodology refers to how the research is to be conducted and would ultimately influence the research methods and techniques. Sarma and Misra (2006:3) explain that research methodology defines the whole process on how is the research is to be conducted. In a nutshell it is a blueprint of research. The research tradition to be 14 applied in this study is interpretivism, as it is about meaningful understanding and the subjective interpretation of the phenomenon. The assumption is based on the past experiences and knowledge of social interaction. It is therefore based on epistemological interpretivism. It is about knowing and understanding the situation based on a real situation and environment. Maree (2016:61) outlines the following assumption of the interpretivist perspective. 1.6.1 Human life can only be understood from within It focuses on how people interpret the world subjectively from their own experiences and interpretation of the social world. Different spheres of government tend to interpret IGR and cooperative governance according to their political perspective, e.g. the relationship between the Gauteng Provincial Departments and Municipalities that are dominated by the ruling party is sometimes compromised by political party patronage. Issues of service delivery are subjectively approached. 1.6.2 Social life is distinctively a human product Every situation is unique and therefore, it is imperative to understand the situation with its context and to interpret the meaning as constructed. B2B uses a differentiated approach to ensure that support is tailor made according to the need of the municipalities, e.g. support given to metros is different compared to support given to smaller local municipalities. 1.6.3 The human mind is the purposive source or origin of meaning This is based on exploration of the depth complexity of the study. Understand the meaning of different parts and the how, constitute the whole phenomenon. The different spheres of government have power and authority. The combination of all these spheres constitutes the state, e.g. the Republic of South Africa is established by national government, provincial government and local government. 15 1.6.4 Human behavior is affected by knowledge of the social world There are multiple ways to explain the phenomenon as its changes over time, given the place, as well as the circumstance. Changes in life could definitely affect human behavior and attitude. The support and interventions in municipalities by national government and provincial government have evolved over time, based on the prevailing circumstances, e.g. changes in political and economic situations would influence the relationship between spheres of government. 1.6.5 Social world does not exist independently of human knowledge This assumption is closely linked to the ontology of the real world the way we perceive it and learn from it and the epistemology of knowledge and experience that arise from learning. Knowledge and experience should be drawn from previous turnaround support strategies in terms of the failures and success that are based on the real situation, e.g. lessons should be drawn from the Local Government Turnaround Strategy (LGTAS) to improve on the implementation of B2B Programme. The research used a deductive approach to research. The investigation started broadly with developmental local government, IGR and moved to specific B2B hurdles and challenges. The cognitive interest is historical hermeneutic, which is based on in-depth understanding of the phenomenon. McBurney and White (2004:216) postulate that the task of the scholar is to find the original meaning of the text. The research type is a combination of explanatory research and analytical research of ineffectiveness of B2B Programme within IGR’ space and attempt to find the reasons and answers to the question. An explanatory research attempts to explain the nature of the situation as per the status quo and attempts to find the reasons why things occur the manner in which they do. More emphasis would be on analysis of information from B2B reports and performance of local government. Sarma and Misra (2006:1) highlight that analytical research involves that the obtaining of information and the relationship of 16 variables are established through a critical analysis through the available information that has been researched in the topic. It is a qualitative research in nature, which attempts to get a meaningful understanding of the phenomenon in its context. Welman, Kruger, and Mitchell (2005:183) explain that qualitative research is an overarching approach that covers a range of interpretative techniques that aim to describe, decode and translate the meaning of the phenomena in its natural environment. In this study, we investigated challenges and problems of IGR and B2B in its natural environment and sought to get a solution to those problems. The study used literature reviews to collate information. Quinlan (2011:152) highlights the purpose of literature for researchers as the following:  To develop their own knowledge and experience on the study of phenomenon;  Determine what has been researched and still needs to be investigated in the discipline;  Close the gaps that exist in the field of study. The research can contribute to the body of knowledge; and  Create a theoretical foundation for the study on the research topic. The study used secondary data sources. The study entailed the desktop review through analysis of documents and other relevant credible sources, such as electronic journals, newspaper articles, academic articles, government policies, intergovernmental reports, the Constitution of the Republic of South Africa’s Policies and Acts of Parliament. Other sources were local government reports, auditor general reports on financial performance, speeches of prominent politicians in conference and summits. The topic of research was used to obtain credible sources of information. Libraries were visited to search for information from authors on IGR. Informal discussions were held with colleagues who are IGR practitioners who work directly with the selected municipality. 17 1.7 LAYOUT OF PRELIMINARY OF CHAPTERS This study is divided into the following five chapters. Chapter 1: General orientation of the study This chapter outlines the introduction and the rationale behind the study in terms of factors that contribute to the study’s problem statement, highlights challenges and lack of service delivery problems and their impact to communities. Research methodology entails qualitative research through a desktop literature review of material that is written about the study, and research questions that relate to the problem statement of the study. Aims of the research are outlined and the specific objectives that the study sought to achieve. Chapter 2: The conceptual foundation, legislative and policy for intergovernmental relations (IGR) and Back to Basics (B2B) Programme This chapter discusses the evolution of IGR, Section 140 of the Constitution no.108 of 1996 of The Republic of South Africa. Other points that are discussed are: the legislative framework governing IGR that guide the study; the policy prescript that inform IGR; the principles of IGR; the challenges that are inherent in IGR; IGR structures and their functions; as well as the concept of IGR service delivery. The municipal infrastructures grant allocation for infrastructure improvement in municipalities is explained. Relationships between IGR and B2B Programme are discussed. The implementation process of IDP is lastly summarized. Chapter 3: Back to Basics (B2B) Programme The chapter outlines what B2B Programme entails. The reason behind the programme is discussed, as well as the aims and the objectives of the programme, the legislative framework and policies that guide the programme. The concept of B2B Programme is discussed and the strategies to roll-out the programme. The previous support programmes that were put in place to support municipalities and the achievements and the challenges of B2B Programme are deliberated. 18 Chapter 4: Profile of Emfuleni Local Municipality (ELM) This chapter discusses the profile of ELM in terms of the geographical area, the category of the Municipality and governance system, population of the region, as well as the socio economic status of the region. The functions of political spheres and the administration of the Municipality are discussed, different departments of the municipality, as well as the intergovernmental relation system in the municipality. Chapter 5: Analysis of the institutional challenges and IGR interventions in the Municipality Analysis of the functioning of the Municipality and the institutional challenges of ELM in terms of service delivery, the Financial Recovery Plan (FRP) and implementation of Section 139 of the Constitution of the Republic of South Africa to turn around the Municipality are discussed. Budget and IDP implementation, evaluation on how effective are IGR structures, and a look at the implementation of B2B Programme, are discussed. Chapter 6: Findings recommendations and conclusion Findings, recommendations and the conclusion of the study of IGR as a platform to implement to improve service delivery, are discussed. B2B Programme’s findings are critical to establish the status quo in the Municipality. A conclusion is drawn and proposals are made on the impact of IGR on B2B Programme. The conclusion is based on the findings of the study and a way forward is suggested. 19 CHAPTER 2 : THE CONCEPTUAL FOUNDATION, LEGISLATIVE AND POLICY FOR INTERGOVERNMENTAL RELATIONS (IGR) AND BACK TO BASICS (B2B) PROGRAMME 2.1 INTRODUCTION This chapter is a culmination of all the facts in chapter 1. The chapter focuses on IGR and cooperative governance. The specific focus is on historical development of IGR, as well as on IGR during the interim phase of the transformation of local. The objectives of IGR are outlined in detail in terms of what it seeks to achieve. The principles of IGR that guide the interactions between the spheres of government, as outlined in the Constitution no.108 of 1996 of the Republic of South Africa, as set out. The chapter outlines the IGR structures, such as the Presidential Coordination Committee, Premiers Coordinating Committee and the District Forum. The Constitution no.108 of 1996 of the Republic of South Africa explains the objects of local government as a guidance for developmental local government. The White Paper of Local Government (1998) forms the foundation for all legislative prescripts for developmental local government. The study looks at legislative prescriptive on IGR. Legislative framework covers the Republic of South Africa Constitution no.108 of 1996. The Municipal Structures Act 117 of 1998 (MSA) on how municipal structures interact and relate to other spheres of government, are discussed. The roles and functions of the Municipality and the monitoring and support function of other spheres of government, as outlined in the Municipal Systems Act 32 of 2000 (MSA), are discussed, as well as the Municipal Finance Management Act 1 of 1999 (MFMA), as embedded in the White Paper on Local Government of 1998. The Intergovernmental Relations Framework Act no.13 of 1995( IGRFA), as the key legislation for IGR and cooperative governance, is deliberated. The Public Finance Management Act No. 1 of 1999 that explains the fiscal, budgetary and financial relations, is explained. This act explains the process on how equitable share 20 is distributed between and amongst the spheres of government. The National Environmental Management Waste Act No. 59 of 2008 (NEMWA) is discussed, as it makes provision for the regulating and development of measures of waste management to prevent pollution, land degradation, as well as to promote health and safety of the public. Service delivery forms the foundations for the existence of spheres of government. Legislations prescribe on spheres of government, more especially local government on the purpose of why certain types of services are delivered and which pieces of legislations gives mandate in that respect. IGR are an essential part of service delivery. Definition of IGR in terms its meaning, definition of cooperation between government departments and between spheres of government in terms of how they relate and interact with each other, is discussed. The relationship between IGR and B2B Programme is clearly explained in terms of systems and processes. IGR as an integral part of the IDP, as vision for the development in the municipality, is explained, as well as the challenges of IGR in relation to the grey areas that arise from the Constitution no. 108 of 1996 of the Republic of South Africa. The phases of the IDP planning process as a guide for the preparation of implementation of IDP, is deliberated on. The chapter ends with governance as part of the theoretical foundation and as a critical part of IGR and B2B Programme. 2.2 HISTORICAL CONTEXT OF INTERGOVERNMENTAL RELATIONS (IGR) IN SOUTH AFRICA Sithole and Mathonsi (2015:11) cite Ngubane (2002) and Powell (2012) that the history of local government emanated from 17th and 18th centuries, during the era of Dutch and British settlers in the Cape Colony. The development of a hybrid system of local government was a consequence of significant influence of the Dutch and the British system. In the 18th century the white regime brought about improvement of local government with the introduction of three tiers of government. The tiers of government 21 were part of the apartheid system that discriminated against blacks, as it was a racially- based separate local government with authorities for different racial groups. This kind of racial separation resulted into rural areas without a local government. This also resulted in a creation of a Bantustans system of government. Worral (1971:32) as cited by Kahn et al. (2016:75), articulate that the system of governance continued with the promulgation of the South African Act of 1909 that established the three tiers of government that is constituted of the national government, provincial government and local government. However, the new system accorded powers, functions and resources to central government with some federal features in which some powers were devolved to lower tiers. The lower tier of government was a subordinate to the central government of the regime. Tabscott as cited by Kahn et al. (2016:75), further gives clarity that the South African Act of 1909 was enacted to bring about a compromise between the British interest and the interest of the Dutch system, hence the introduction of a second tier of government. 2.3 INTERGOVERNMENTAL RELATIONS (IGR) DURING THE INTERIM PHASE OF DEMOCRATIC NEGOTIATIONS The promulgation of the Constitution no. 200 of 1993 of the Republic of South Africa, brought the provisions of IGR. The provincial sphere of government came into place on the basis of the principles of a federation system. This was followed by the establishment of intergovernmental forums that have the role of coordination and consultation. The interim constitution brought significant changes in a governance system (de Villiers, 2012:675), according to the Constitution no. 200 of 1993 of the Republic of South Africa. 2.4 INTERGOVERNMENTAL RELATIONS (IGR) PHASES IN A DEMOCRATIC SOUTH AFRICA According to the DPLG Inaugural Report 2005/06 and 2006/07, the development of the nascent IGR system in South Africa can be categorised into three main phases: 22 1. Restructuring of the governance system of the state (1994-2000). This resulted in the creation of a single public service. This constituted the amalgamation of ex- homeland governments, the establishment of nine provincial governments, the introduction of a cluster system, end of local government transformation, as well as the establishment of 284 municipalities in South Africa. Special attention was given to the formation of IGR forums and processes and the ultimate enactment of legislation on IGR for dispute settlement in IGR. 2. During the 2001-2004 era, the IGR were implemented with less regulation. The process gave effect to the concept of intergovernmental government. This culminated in the creation of non-statutory national and provincial IGR structures. The outcome was an active involvement of organized local government in IGR and engagement of all spheres of governance through collaborative joint working programmes. 3. In 2005 the Intergovernmental Relations Act no.113 of 2005 provided a framework for consolidation of the IGR system. The IGR Act facilitated for the establishment of local government forums, settlement of disputes and created a conducive regulatory environment for the formalization of IGR practice (DPLG Inaugural Report 2005/06 and 2006/7). Kanyane (2016:92) affirms that Section 41(2) of the Constitution provides for an act of Parliament that should establish structures and institutions to promote and facilitate IGR and provide the relevant mechanisms for dispute settlement between spheres of government. The Intergovernmental Relation Act no.13 was promulgated to give effect to Section 41(2) of the Constitution to promote local government participation in IGR. 2.5 OBJECTIVES OF INTERGOVERNMENTAL RELATIONS (IGR) Intergovernmental relations need institutions, officials and resources to formulate a policy, render services and promote general welfare and sustainable development. This relates to the actions, attitudes and the conduct of officials and politicians (Malan, 2005:229). Malan (2005:229) outlines six main objectives that cooperative government requires: 23 (a) The provincial and local circumstance should inform the objective that is based on the achievement of key national policy goals. (b) Accessibility to all and responsiveness to community needs in a manner that is cost-effective and to effect sustainable development. (c) State organs to function in a clearly demarcated area of responsibility and accountability. (d) Devolution to provincial and local government systematically while exploring alternatives of disintegration due to lack of capacity. (e) Enhance the capacity of distinctive spheres to perform in an accountable way and promote innovation for collaborative partnership. (f) Manage efficiency and unnecessary duplication that leads to a silo approach. 2.6 THE PRINCIPLES OF INTERGOVERNMENTAL RELATIONS (IGR) Section 40(2) of the Constitution no. 108 of 1996 of the Republic of South Africa emphasizes that all spheres of government must observe the principles of cooperative governance as provided in the Constitution. The following principles should be observed by all spheres of government: (a) preserve the peace, national unity and the indivisibility of Republic; (b) secure the well-being of the people of the Republic; (c) provide an effective, transparent, accountable and coherent government for the Republic as a whole; (d) be loyal to the Constitution, the Republic and its people; (e) respect the constitutional status, institutions, powers and functions of government in other spheres; (f) not assume any power or function except those conferred on them in terms of the Constitution; (g) exercise their powers and perform their functions in a manner that does not encroach on the geographical, functional or institutional integrity of government in other spheres; and (h) co-operate with one another in mutual trust and faith by: 24 i.) fostering friendly relations; ii.) assisting and supporting one another; iii.) informing one another of, and consulting one another on, matters of common interest; iv.) co-ordinating their actions and legislation with one another; v.) adhering to agreed procedures; and vi.) avoiding legal proceedings against one another. Botha, Brand, Engelbrecht and van Eijbergen, (2015:177-178) explain that the principles of cooperative government are based on a German concept, called ‘Bundestreue’ or Federal Loyalty. These principles was adopted in Switzerland. These principles have been approved as relevant for cooperative government by the Constitutional Court of South Africa. The concept is based on the basis of shared governance between different spheres of government in a country. Botha et al. (2015) emphasises that Chapter 3 of the Constitution no.108 of 1996 of the Republic of South Africa, creates a conduit of IGR and cooperative government in South Africa. All spheres of government must adhere to the principles of cooperative governance and should operate on the grounds of mutual relations and respect. 2.7 INTERGOVERNMENTAL RELATIONS (IGR) STRUCTURES Haurovi (2012:81-92) explains and discusses the IGR structures as prescribed by the Intergovernmental Relations Framework Act no.13 of 2005. 2.7.1 Presidential Coordinating Forum (PCF) The forum is constituted of the President, Deputy-President, Premiers, Minister of CoGTA, SALGA, Minister of Public Service and Administration and Minister of Finance. The function of PCC is to address common problems of the Premier’s as articulated, synergising the relationship between provinces and other spheres of government. It should discuss matters of national interest that affect provinces and SALGA. It should 25 engage on policy matters and strategize priorities, evaluate performance of programmes and strategies. It is the highest national and provincial forum structures. 2.7.2 Minister MEC (MinMEC) MinMEC is established by Ministers, Nine MEC’s of provinces, officials and SALGA of concurrent functions in terms of schedule 4 of the Constitution no.108 of the Republic of South Africa. The concurrent functions entail housing, health, transport and social development. It deals with peculiar matters of provinces, shares knowledge and experiences, discusses national policies and priorities. It makes a proposal for policy and legislation and identifies areas of disputes and problems for resolutions. 2.7.3 Premier Coordinating Council (PCC) Haurovi (2012:85) refers to the Intergovernmental Relations Act (2005), which states that “this forum facilitates and promote intergovernmental between the provinces and local government in the province”. The forum is constituted of the Premier of the Province who is the Chairperson of the forum, MEC of CoGTA, Executive Mayors of the District Municipalities and Metro Municipalities, South African Local Government Association, any other member that is appointed by the Premier, as well as the Section 139 Administrator of the Municipality. The forum deals with intergovernmental relation matters that impact on local government, policies and legislation, affecting local government, matters of interest to the forum, coordination of planning and implementation between province and local government, as well as any other matter that is of interest to the forum, and the alignment of performance plans, priorities, strategies and objectives. 2.7.4 District Forum The District IGR Forum is constituted of the District Executive Mayor, Executive Mayors of Local Municipalities, Administrator of a municipality under Section 139, and any other person who may be invited by the chairperson. The forum deals with matters of interest 26 in the District, serves as a consultation forum on matters of the District, can deal with any other matter that affects the District and local municipalities, discusses policy and legislation that affect the District, deals with matters that arise from the PCC that affect the District and coordination and alignment of cohesive planning in the district and alignment of performance plans, priorities and objectives. 2.8 LEGISLATIVE FRAMEWORK ON INTERGOVERNMENTAL RELATIONS (IGR) Mdliva (2012:24) refers to the White Paper on Local Government (1998) that the system of local government commenced in 2000 as guided by the Constitution no.108 of 1996 of the Republic of South Africa that provided a framework for this system. This culminated in the promulgation of pieces of legislation governing local government. Paulson (2016:70-72) supports Mdliva (2012:24) and outlines some of the legislation governing IGR in local government. The foundation of IGR emanates from Chapter 3 of the Constitution of no. 108 of 1996 of the Republic of South Africa and the White Paper on Local Government of 1998. Paulson (2016:70) argues that Section 41(h) of the Constitution no.108 of 1996 of the Republic of South Africa provides guidelines and principles for the co-operations in IGR and Section and section 41(2) makes provision for an act of parliament to be promulgated. The Constitution no. 108 of 1996 of the Republic of South Africa lacks clarity to give direction, except to provide a broader principle that sets out a framework on IGR. Paulson (2016:70) cites Friedman (1993:3) who further outlines that the Constitution is not specific on how three spheres of government should coordinate and integrate their activities. The gray area in IGR is a subject of further research, as argued by different academic scholars, however in this context the principles of IGR and cooperative governance are interpreted literally. The White Paper of Local Government (1998) is a local government policy framework that creates a bridge between the Constitution and the legislation on local government. 27 The White Paper on Local Government (1998) gave birth to the following pieces of legislation that governs local government in South Africa. 2.8.1 Intergovernmental Relations Act no. 13 of 2005 Section 41 (2) of the Constitution (Act 108 of 1996) of The Republic of South Africa states that an act of Parliament must be promulgated to: (a) Establish or provide for processes, structures and institutions to promote and facilitate intergovernmental relations (IGR); (b) and provide appropriate mechanisms and procedures to facilitate settlement of disputes. Intergovernmental Relations Act no. 13 of 2013 was promulgated to give effect to Chapter 3 of the Republic of South African Constitution no. 108 of 1996. Mohale (2013:48) articulates the aims of the act to promote and facilitate IGR between spheres and provides mechanisms and disputes settlement procedures. The Intergovernmental Relations Framework Act 13 of 2005 intends: (a) To establish a framework for the national government, provincial governments and local governments to promote and facilitate IGR; (b) To provide for mechanisms and procedures to facilitate the settlement of intergovernmental disputes; and (c) To provide for matters connected therewith. 2.8.2 The Local Government: Municipal Structures Act 117 of 1998 “The purpose of the act is; to provide for the establishment of municipalities in accordance with the requirements relating to categories and types of municipality; to establish criteria for determining the category of municipality to be established in an area; to define the types of municipality that may be established within each category; to provide for an appropriate division of functions and powers between categories of municipality; to 28 regulate the internal systems, structures and office-bearers of municipalities; to provide for appropriate electoral systems; and to provide for matters in connection therewith.” The Act provides for the establishment of municipalities, their internal structures, governance structures, and the division of powers between local and district municipalities. Section 2 of the Municipal Structures Act no.117 of 1998 clarifies the categories of municipalities in terms of category A, being Metro Municipalities that have exclusive municipal executive and legislative power in its area of demarcation. Metro Municipalities manage highly commercialized and industrialised city regions with high economic activity and that are densely populated. Section 3 prescribes that a category C municipality is a District Municipality that has executive and legislative power within its area of demarcation with more than one municipality and a category B is a local municipality that has executive and legislative powers in its area of demarcation within the District area. These categories of municipalities do not meet the requirements of Section 2 of the Act to become a Metro Municipality. Section 7 of the Municipal Structures Act no. 117 of 1998, defines the types of municipalities that are firstly, the executive mayoral committees that has an executive mayor who is elected by the council, who has powers to appoint a mayoral committee that consists of not more than 10 members. Secondly, is the executive committee system in which the mayor and the executive committee are elected by the council. Thirdly, the executive committee can be constituted by members of different political parties on basis of proportional representation. Fourthly, is a plenary system in which the mayor is elected by the council and has no executive powers to run the municipality. In this case, the executive powers are vested with the whole council. Fifthly, a sub-council participatory system is one that allows powers to be delegated to the sub-councils established for parts of the municipality. Lastly, the act prescribes for the establishment of a ward committee system that is elected from the different sectors of the community to represent the community and participate in 29 council matters and interest. The ward committees are established by not more than 10 members and the term of office of ward committees is linked to the term of the council. Ward committees are required to hold monthly meetings and submit reports on their activities. Section 79 (1) of the Act prescribes for the council to establish committees amongst its members to function and exercise its powers as delegated. These committees can be disestablished when it is necessary. Section 79 (2) stipulates that the council can determine the functions of the committee, co-opt a person to the committee and remove a person from the committee. Section 80 of the Act prescribes for the executive committee or the mayoral committee to establish a committee in terms of Section 79 to assist in the work of the council. The committee members cannot be more than the members of the executive or mayoral committee. The chairperson of the committee is appointed from the executive committee or the mayoral committee. The executive committee or mayoral committee may delegate functions to the committee to exercise functions and report back. However, the decision of the committees can be reversed by the executive committee or the mayoral committee. 2.8.3 The Local Government: Municipal Systems Act 32 of 2000 “The purpose of the act is to provide for the core principles, mechanisms and processes that are necessary to enable municipalities to move progressively towards the social and economic upliftment of local communities, and ensure universal access to essential services that are affordable to all; to define the legal nature of a municipality as including the local community within the municipal area, working in partnership with the municipality's political and administrative structures; to provide for the manner in which municipal powers and functions are exercised and performed; to provide for community participation; to establish a simple and enabling framework for the core processes of planning, performance management, resource mobilisation and organisational change which underpin the notion of developmental local government; to provide a framework for local public administration and human resource development; to empower the poor and ensure that municipalities put in place service tariffs and credit control policies that take 30 their needs into account by providing a framework for the provision of services, service delivery agreements and municipal service districts; to provide for credit control and debt collection; to establish a framework for support, monitoring and standard setting by other spheres of government in order to progressively build local government into an efficient, frontline development agency capable of integrating the activities of all spheres of government for the overall social and economic upliftment of communities in harmony with their local natural environment; to provide for legal matters pertaining to local government; and to provide for matters incidental thereto.” Section 3(1) of the Municipal Systems Act no.32 of 2000 requires municipalities to exercise their executive and legislative power within the co-operative governance that is provided in Section 41 of the Constitution no. 108 of 1996 of the Republic of South Africa. Whereas Section 3(2) of the Municipal Systems Act no. 32 of 2000 provides for the national and provincial spheres of government to exercise their executive and legislative powers within the co-operative governance that are provided in Section 41 of the Constitution no.108 of 1996 of the Republic of South Africa and in a manner that does not impede or compromise the municipalities to exercise their rights and perform their functions. Section 3(3) provides for organized local government through a co-operative governance system to develop an approach for the local sphere of government, promote cooperation and sharing of resources amongst municipalities, find solutions to challenges and problems and facilitate compliance with the principles of cooperative governance and IGR. Section 105(1) prescribe for the MEC of local government in a province in terms of Section 155 (6) of the Constitution no.108 of 1996 of the Republic of South Africa to establish mechanisms, processes and procedures in line with Section 155(6): (a) Monitor municipalities in the province in managing their own affairs, exercising their powers and performing their functions; (b) Monitor the development of local government capacity in the province; and (c) Assess the support needed by municipalities to strengthen their capacity to manage their own affairs, exercise its powers and perform its functions. 31 Section 105 (2) makes provision for the MEC of local government to request municipalities to submit information as requested on regular intervals and account for information contained in the annual performance reports of the municipalities. Section 106 may require the MEC of local government to conduct an investigation if the municipalities fai