Municipal Support and Intervention

Framework

Presentation to the SMS

conference

MUNICIPAL SUPPORT & INTERVENTION FRAMEWORK

Ad hoc support

approach

Structured & focused support

Categorisation of municipalities

DefineSupport &

Intervention

Setting up of Support

Providers Forum

Data base of Support

Providers & Partners

Deployment Strategy

Types of Support &

Intervention

Municipal Support Plan

Launching- Data base

- Forum - Framework

Department- MS Unit

- MRE Unit

District level Municipal Support

Units

Roll Out Plan

A. Consultation•Staff •MEC •SALGA•Municipalities•Cabinet Committee•Portfolio Committee

B. Data base(Partners & and

Support Providers)

C. Launching Municipal Support& InterventionFramework

D. LaunchingSupport Providers’Forum

E. Mun Support PlanAuthority Functions

F. Establish Units - Support Units- MRE Unit

G. Piloting Piloting Frameworkin selectedcategories

Principles of Support & Intervention• Mainstreaming & promotion of integration

• Short & long term to optimise effectiveness• Seek out the most vulnerable (capacity levels)

• Addresses the needy (respond to the needs identified)• Build resilience

Presentation overview

This report comprises four main sections:

1. The first presents a context of municipalities in the Eastern Cape and presents types of municipal support and intervention.

2. The second presents a framework for strengthening municipal support and intervention functions.

3. The third applies the framework to DLGTA at a broad level.

4. The fourth outlines a road map for institutionalising the function.

Types of municipalities in the Eastern Cape

Categorising municipalities:– Based on monitoring, municipalities can be categorised into those

that require different types of support.– In the interim, a desktop categorising method can be used:

• A: Metros (1)• B1: Secondary cities (1)• B2: Local municipalities with a large town as core (3).• B3: Local municipalities with small towns, with relatively small

population and significant proportion of urban population but with no large town as core (18).

• B4: Local municipalities which are mainly rural with communal tenure and with, at most, one or two small towns in their area (16).

• C1: District municipalities which are not water services authorities (1).• C2: District municipalities which are water services authorities (5).

Categorisation of municipalities

A Nelson Mandela Metropolitan Municipality

B1 Buffalo City Local Municipality

B2 Makana Local MunicipalityB2 Lukhanji Local MunicipalityB2 King Sabata Dalindyebo Local Municipality

B3 Camdeboo Local MunicipalityB3 Blue Crane Route Local MunicipalityB3 Ikwezi Local MunicipalityB3 Ndlambe Local MunicipalityB3 Sunday's River Valley Local MunicipalityB3 Baviaans Local MunicipalityB3 Kouga Local MunicipalityB3 Kou-Kamma Local MunicipalityB3 Great Kei Local MunicipalityB3 Amahlati Local MunicipalityB3 Nkonkobe Local MunicipalityB3 Nxuba Local MunicipalityB3 Inxuba Yethemba Local MunicipalityB3 Tsolwana Local MunicipalityB3 Inkwanca Local MunicipalityB3 Sakhisizwe Local MunicipalityB3 Maletswai Local MunicipalityB3 Gariep Local Municipality

B4 Umzimkhulu Local MunicipalityB4 Umzimvubu Local MunicipalityB4 Mbhashe Local MunicipalityB4 Mnquma Local MunicipalityB4 Ngqushwa Local MunicipalityB4 Intsika Yethu Local MunicipalityB4 Emalahleni Local MunicipalityB4 Engcobo Local MunicipalityB4 Elundini Local MunicipalityB4 Senqu Local MunicipalityB4 Mbizana Local MunicipalityB4 Ntabankulu Local MunicipalityB4 Qaukeni Local MunicipalityB4 Port St Johns Local MunicipalityB4 Nyandeni Local MunicipalityB4 Mhlontlo Local Municipality

C1 Cacadu District Municipality

C2 Amatole District MunicipalityC2 Chris Hani District MunicipalityC2 Ukhahlamba District MunicipalityC2 O.R.Tambo District MunicipalityC2 Alfred Nzo District Municipality

Types ctd

0

2

4

6

8

10

12

14

16

18

A B1 B2 B3 B4 C1 C2

0

1

2

3

4

5

6

7

8

Cacadu (C1) Amathole(C2)

Chris Hani(C2)

Ukhahlamba(C2)

O.R.Tambo(C2)

Alfred Nzo(C2)

B1

B2

B3

B4

Type of municipal support

EstablishmentConsolidationSustainability

A C2C1B1 B2 B4

Light

Support Intervention

C r i s i s

IntenseGeneral

B3

C r i s i s

Light support

• Light support:– This refers to support offered to municipalities in

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

Medium support

• Medium support:– This is applicable to municipalities that are gradually

establishing themselves and are steadily improving their performance, but nonetheless require support to reach and complete the consolidation phase. This is typically related to a specific problem. Here there are two sub-sets:

• Short term organisational building focussing on specific problems that occur within the institution and can be resolved through short term technical support.

• Medium term gap filling involving support to institutions in delivering services. It is relevant both to institutions that are established and functioning and those that are still being established, but can’t upscale their delivery without additional support through the placement of technical assistance teams (programme management units), often with skills from the private sector.

Intense support

• Intense support:– This is a component of hands on support and is focussed on those

municipalities which are still effectively in the establishment phase – and grappling with quite severe problems. Municipalities may also be in sustainability or consolidation phases but are facing severe problems.

There are two sub-types:– Long term organisational building which is likely to include political,

strategic and operational components. This acknowledges that there are no structural or environmental constraints to this capacity being built over the medium to longer term.

– Long term gap filling is relevant to those institutions which are not able to ever attract the required skills (in the medium to long term) due to broader structural and environmental (geographical location and population densities) constraints. This limits them from recruiting skills on a full-time basis. It is acknowledged that it is better in these environments to appoint a qualified engineer, for example, for one day a week rather than an unqualified person to try and fulfil this function. This requires capacity from another institution to be deployed on an ongoing basis to fill the gaps that exist. An example of this is a shared service centre.

Municipal Intervention• Intervention as a legal instrument is the unilateral

interference by one sphere into the affairs of another sphere in order to remedy an unacceptable situation.

• Last resort, only after all other options for resolving the issue have been exhausted.

• Legal base for intervention into local government by provinces is S139 of the Constitution and sections of the MFMA

Principles of Integration• Mainstreaming & Promotion of Integration • Long term approach to optimise effectiveness• Seek out the most vulnerable & build resilience

Types of intervention

• Four types of intervention:– Regular interventions in response to a crisis that is not

strictly financial in nature (failure to fulfill an executive obligation). Managed by MEC for LG;

– Intervention in response to a municipality having serious financial problems (financial recovery plan). Managed by MEC for LG;

– Intervention in response to a municipality failing to adopt a budget or revenue-raising measures. Managed by MEC for LG;

– Intervention in response to a municipality experiencing a crisis in financial affairs. Managed by MEC Finance.

• Distinction between substantive and procedural aspects re the above.

Pre-requisites to support and intervene

• Concept of authority and providers:– Norms and standards– Framework and targets– Support & intervention– Co-ordination and mobilisation– Monitoring & evaluation

• These are regarded as AUTHORITY FUNCTIONS and are performed by government.

• PROVIDER FUNCTIONS are performed by service providers

• On the following slide support methodology is given:

ConceptTargets 1

Performance Assessment2

Diagnose 3

Medium

b

Intense

c

Intervention

d

Light

a

Co-ordination & mobilisation

4

Private sector

Professional associations

& retired professionals

Parastatals (DBSA)

Donors & international volunteers

Sector departsSALGA

Deployment strategy 5

Detailed planning & implementation 6

Municipal Performance2

Kno

wle

dge

sha

ring

10

Nor

ms

& s

tand

ards

7

Tool

s &

gui

delin

es

8

Mon

itorin

g &

eva

luat

ion

9

Components

• Targets: – Two main informants to targets:

• National targets from national policies and programmes.• Provincial targets.

• Performance assessment:– Assessment, based on KPIs (that will include the targets listed above), will define

where the municipality is located in terms of establishment, consolidation and sustainability.

– Dplg currently busy with work on M&E, core set of indicators have been defined which can form the basis of departmental indicators for monitoring.

• DM & LM support programmes:– Having conducted the assessment, it is then possible to define broad municipal

support programmes for district and local municipalities. • Diagnose:

– Relevant mostly to municipalities in the establishment and consolidation phases.– Deeper assessment of performance and the reasons behind such performance. – Encompasses a number of steps.

Components ctd

• Co-ordination and mobilisation:– Once municipalities have been identified for different types of support, support role-

players can be mobilised and co-ordinated. • Deployment strategy:

– Required in order to create consistency amongst the various role-players who have been mobilised to provide support.

– Needs to include some orientation and training.• Detailed planning and implementation:

– Once on site, detailed planning and implementation is undertaken. • Monitoring and evaluation:

– Ongoing monitoring on achievement of outputs.– Evaluation of effectiveness of support provided.

• Norms and standards:– Norms and standards for the way in which support and intervention is implemented

bring uniformity when there are different providers. • Tools and guidelines:

– Tools and guidelines have/need to developed/rationalised to assist with implementation of support and intervention.

• Knowledge sharing:– Sharing of experiences and knowledge across the system is required.

Prioritising Municipal Support

EstablishmentConsolidationSustainability

A C2C1B1 B2 B4

Light

Support Intervention

C r i s i s

IntenseGeneral

B3

C r i s i s

Municipality back

DM

Municipality

MSP

(pha

se 2

)

MM

P

ECM

SS

DHLG

TA

Pro

ject

Con

solid

ate

Pro

vinc

ial T

reas

ury

Office

of t

he P

rem

ier

UNDP

Cor

plan

NBI

ECSE

CC

SAL

GA

RULI

V

PIM

SS

Mas

ibam

bane

ISRDP

URP

Pro

ject

Con

solid

ate

PC B

illing

Siyen

za M

anje

MFM

TAP

ENER

GYS

IMFO

CM

TP

Am

atho

le M

SU

Nelson Mandela Metropolitan Municipality y y y y y y y yCacadu District Municipality y y y yMakana Local Municipality y y yCamdeboo Local Municipality y y y yBlue Crane Route Local Municipality y y y y yIkwezi Local Municipality y y y y y yNdlambe Local Municipality y y y y ySunday's River Valley Local Municipality y y y y yBaviaans Local Municipality y y y y yKouga Local Municipality y y y y yKou-Kamma Local Municipality y y y y y y yAmathole District Municipality y y y yBuffalo City Local Municipality y y y y y y yGreat Kei Local Municipality y y y yAmahlathi Local Municipality y y y y yNkonkobe Local Municipality y y y yNxuba Local Municipality y y y y yMbhashe Local Municipality y y y y y y y y yMnquma Local Municipality y y y y y y y y y yNgqushwa Local Municipality y y y yChris Hani District Municipality y y y y y yLukhanji Local Municipality y y y y y y yInxuba Yethemba Local Municipality y y y yTsolwana Local Municipality y y y yInkwanca Local Municipality y y ySakhisizwe Local Municipality y y y y y yIntsika Yethu Local Municipality y y y y yEmalahleni Local Municipality y y y y yEngcobo Local Municipality y y y y y yUkhahlamba District Municipality y y y y y yMaletswai Local Municipality y y y yGariep Local Municipality y y yElundini Local Municipality y y y y y y ySenqu Local Municipality y y y yO.R.Tambo District Municipality y y y y y y y y yKing Sabata Dalindyebo Local Municipality y y y y y y y yMbizana Local Municipality y y y y y y yNtabankulu Local Municipality y y y y y yQaukeni Local Municipality y y y y y y yPort St Johns Local Municipality y y y y y y yNyandeni Local Municipality y y y y y yMhlontlo Local Municipality y y y y y yAlfred Nzo District Municipality y y y y y y yMatatiele y y y yUmzimvubu Local Municipality y y y y y y

Provincial Historical Current

National

Municipal Support Programmes

DM

KPA

Proj

ect C

onso

lidat

e

PIM

SS

ISR

DP

UR

P

MFM

TAP

Mas

ibam

bane

Siye

nza

Man

je

ENE

RG

YS

IMFO

CM

TPD

HLG

TA

Prov

inci

al T

reas

ury

Thin

a S

inak

ho

OTP

UN

DP

Cor

plan

PSAM

ECS

ECC

SALG

A

NBI

Fort

Har

e

RU

LIV

ADM

MSU

Service delivery y y y y y y y y y y y yLocal economic development y y y y y y y y yFinancial viability y y y y y y y y yInstitutional transformation y y y y y y y y y y yGood governance y y y y y y y y y

National Provincial

Municipal Support Programmes per KPA

Working with districts

• Two types of districts in terms of support:• Type 1 refers to those districts that already have an institutional

response to supporting local municipalities (Amathole and Cacadu). These districts can be used as the “implementing agents” for DLGTA in support to local municipalities.

• Type 2 refers to those districts that do not yet have an institutional response to supporting local municipalities (OR Tambo, Alfred Nzo, Chris Hani and Ukhahlamba). Here, DLGTA will need to support these districts to develop support programmes to local municipalities. This may well require intense hands-on support in certain cases.

• Establishment or strengthening of District IGR Forums & capacity building

IMPACTS

OUTCOMES

OUTPUTS

INPUTS

ACTIVITIES

The developmental results of achieving specific outcomes

The medium-term results for specific beneficiaries that are the consequence

of achieving specific outputs

The final products, or goods and services produced for delivery

The processes or actions that use a range of inputs to produce the desired

outputs and ultimately outcomes

The resources that contribute to the production and delivery of

outputs

What we use to do the work?

What we do?

What we produce or deliver?

What we wish to achieve?

What we aim to change?

Plan, budget, implement and

monitor

Manage towards achieving these

results

IMPACTS

OUTCOMES

OUTPUTS

INPUTS

ACTIVITIES

The developmental results of achieving specific outcomes

The medium-term results for specific beneficiaries that are the consequence

of achieving specific outputs

The final products, or goods and services produced for delivery

The processes or actions that use a range of inputs to produce the desired

outputs and ultimately outcomes

The resources that contribute to the production and delivery of

outputs

What we use to do the work?

What we do?

What we produce or deliver?

What we wish to achieve?

What we aim to change?

Plan, budget, implement and

monitor

Manage towards achieving these

results

Logic Model Pyramid

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

Annual Performance Plans Operational Plans Ongoing monitoring & reporting

Strategic Plans

BETTER LIFE FOR ALL (a)

Transformed and Organisationally Developed

Municipalities (b)

Communities receive Basic Services (c)

Developed Local Economies that meet the needs of the

communities (d)

Financially viable and well managed municipalities (e)

Public Participation and compliance to Good Governance

practices (f)

Ultimate Outcomes Realise Benefits

District and Local Municipalities & other institutions comply with policy, guidelines, regulations,strategies, plans, frameworks and standard operating procedures (g)

District municipalities design, implement, manage, monitor & report against IDPs (h)

Local municipalities design, implement, manage, monitor, report on district IDPs (i) Intermediate Outcomes

Direct Outcomes

Activities and Outputs

DLGTA & partners establish an appropriate mix of policy, research, regulations, support and resources that are

available to district and local municipalities and institutions (i.e. a well designed DMLM Support Programme) (k)

District and local municipalities and institutions are aware of available policy, research, regulations, support and

resources (l)

District and local municipalities and institutions are enabled (supported, resourced & capacitated) to design, implement,

manage & report against plans (m)

Policy & Research (n)Policy, guidelines, strategies, plans,

frameworks, standard operating procedures

Profiles, reviews, progress reportsPartnerships, consultations,

committees

Regulations (o) Legislation, norms and standards Support (p)

Training sessions, workshops, toolkits, hands on support, knowledge sharing

Resources (r)Conditional Grants, grants, fiscal

transfers, donor support MRE systemsPerformance Management Systems

Human Resources

Corporate Governance and Administration

Impact

South African Local Government Association, South African Management Development Institute, Provincial Treasury, Sector Departments, Department of Provincial and Local Government, Municipalities, Donors, NGOs, Provincial State Owned Enterpreses, Development Bank of Southern Africa. Co-delivery partners

APPLYING LOGIC MODEL TO DLGTA

Logic Model - NarrativeMake Logic Model more readable and clearThe branch, Developmental Local Government, together with partners, will deliver a number of activities and outputs under the headings of policy and research, regulations, support and resources that collectively comprise a district and local municipal support programme.

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

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

- How the department would institutionalise its support, intervention & monitoring function.

- Measurable objectives tended to focus on outputs at the municipal level, - How the department will implement support measures to achieve theseoutputs.

- Integration of Municipal & Departmental Plans with Provincial & NationalPlans

Applying framework to DLGTA: Authority functions

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

0

5

10

15

20

25

30

35

Norms &Standards

Monitoring &Oversight

Framework &targets

Co-ordination&

mobilisation

Support Intervention

Authority functions ctd

• Intention to provide strong monitoring, co-ordination and support functions:– Functions within different directorates & sub-directorates – issues of

co-ordination, duplication & inefficiencies?– Elevate these functions

• Norms & standards?• Framework & targets?• Intervention:

– Intervention function very weak – sub-division (good governance) of municipal administration directorate called municipal interventions.

– However, staff can be deployed to assist with interventions. – Further work required on analysing previous interventions

undertaken by province.

Provider functions

• Wide range of existing institutions providing support

• Absence of authority functions is limiting their impact

• Refer to Slides 16 – 17 above

Institutionalising the Framework

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

`

Year

3:

Full

Rol

l-out

Year

1: F

ram

ewor

k &

C

onsu

ltatio

n

Consultation

Evaluation and refinement

Year

2:

Pilo

t

Framework for Support & Intervention

1

2

1st Municipal Assessment

MR&E Framework & targets

DM & LM Pilot Support Programmes in each category

Refined DM & LM Support Programmes

Mobilisation3

Training of staff

Institutionalised Function

7

6

8

5

9

10

11

PMU Establishment (MRE Unit)

4

Roadmap

Municipal Support Plan

Building authority capacity:

Design a Provincial Municipal Support PlanProvincial Municipal Support Plan. • Framework & targets• Norms & standards (for the way in which support is provided).• Monitoring and evaluation. Specific & ongoing.• Contract management. Ongoing.• Co-ordination & mobilisation. Ongoing.

Establish Strategic Support UnitStrategic Support Unit within office of DDG• Programme Manager, Project Manager, Project Administrator, short

term or part-time contractors.• Provide direction & parameters for support providers• Coordinate Capacitation of District & Local Municipalities• Coordinate all Support Programmes & hands on support• Focus on the development of Framework & Targets• Focus on the development of Norms & Standards

Establish MRE Unit MRE Unit within office of DDG