Tài liệu Democracy_and_Delivery pdf

Edited by Udesh Pillay,

Richard Tomlinson &

Jacques du Toit

Democracy and Delivery

Urban Policy in South Africa

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Published by HSRC Press

Private Bag X9182, Cape Town, 8000, South Africa

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© 2006 Human Sciences Research Council

First published 2006

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Contents

List of tables and figures v

Preface vi

List of changes to place names and/or boundaries ix

Abbreviations and acronyms x

1 Introduction 1

Udesh Pillay, Richard Tomlinson and Jacques du Toit

Urban and urbanisation

2 Urbanisation and the future urban agenda in South Africa 22

Doreen Atkinson and Lochner Marais

3 Urban spatial policy 50

Alison Todes

One city, one tax base

4 Local government boundary reorganisation 76

Robert Cameron

5 Reflections on the design of a post-apartheid system of (urban)

local government 107

Mirjam van Donk and Edgar Pieterse

6 Local government in South Africa’s larger cities 135

Alan Mabin

7 The development of policy on the financing of municipalities 157

Philip van Ryneveld

Developmental local government

8 Integrated development plans and Third Way politics 186

Philip Harrison

9 The evolution of local economic development in South Africa 208

Etienne Nel and Lynelle John

10 Tourism policy, local economic development and South African cities 230

Christian M Rogerson

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Housing and services delivery programmes

11 Reaching the poor? An analysis of the influences on the evolution of South

Africa’s housing programme 252

Sarah Charlton and Caroline Kihato

12 Free basic services: The evolution and impact of free basic water policy in

South Africa 283

Tim Mosdell

13 Conclusion 302

Udesh Pillay and Richard Tomlinson

Contributors 320

Index 323

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v

List of tables and figures

Tables

Table 1.1 Projected population, number of HIV positive, AIDS sick and cumu￾lative AIDS deaths for 1990–2015, ASSA 2002 (default scenario) 12

Table 1.2 Racial incidence of urban employment and unemployment, 2004 13

Table 4.1 Types and numbers of municipalities 81

Table 4.2 Councillor breakdown 92

Table 7.1 Budgeted municipal operating revenue (all municipalities), 2003/04 159

Table 7.2 Conditional and unconditional transfers from national to local

government (R millions) 161

Table 12.1 Water Services Authorities providing FBW, by type 294

Table 12.2 Water Services Authorities providing FBW, by province 294

Figures

Figure 1.1 Cities comprising the SACN and provincial capitals 4

Figure 1.2 Population and household numbers of SACN and selected secondary

cities, 2001 5

Figure 1.3 Population and household growth rates of SACN cities, 1996–2001 6

Figure 1.4 Municipal population growth between 1996 and 2001 7

Figure 1.5 Average household size of SACN and selected secondary cities, 2001 8

Figure 1.6 Household growth between 1996 and 2001 10

Figure 1.7 The percentage of households without formal shelter and on-site

water in SACN cities, 2001 11

Figure 12.1 Illustration of a rising block tariff structure 292

Figure 12.2 Proportion of total and poor population served by FBW,

by province 295

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vi

Preface

This book is the first publication of an intended series of urban policy research

publications of the Urban, Rural and Economic Development Research Programme

of the Human Sciences Research Council (HSRC), which is a national programme

of policy-relevant urban research.

The book’s purpose is to document and assess the policy formulation processes

that informed South Africa’s foremost urban policies since 1994. It provides

an understanding of the origins and goals of the policies; the role of research,

advice from international development agencies, and political and economic

circumstances and agendas during the policy formulation process; a record of policy

implementation; a critical assessment of the policies; and insight into how present

polices are being adapted and future policies formulated.

It is anticipated that the book will serve as a record of the first ten years of urban policy

formulation processes in democratic South Africa and as a basis for comparative

urban and city-based research among scholars worldwide. It is also hoped that the

book will inform present and future urban and other policy processes in South

Africa and elsewhere. The intended readership of the book includes an informed

public, academics and students, policy-makers and government officials.

The conceptualisation of the publication was taken forward with the assistance of a

reference group, beginning with a workshop in January 2004. Members of the reference

group additionally assisted the editors to review proposals from prospective contributors

and, in a number of instances, commented on draft versions of chapters.

At the time of the workshop the members of the reference group and their

institutional bases were:

Dr Doreen Atkinson, Chief Research Specialist in the Democracy and Governance

Research Programme of the HSRC.

Professor Robert Beauregard, Milano Graduate School of Management and

Urban Policy at the New School University, New York.

Andrew Boraine, Chairperson of the South African Cities Network.

Mike de Klerk, Executive Director of the Integrated Rural and Regional Research

Programme at the HSRC.

Caroline Kihato, Senior Lecturer in the Department of Town and Regional

Planning at the University of the Witwatersrand.

Dr Xolela Mangcu, Director of the Steve Biko Foundation.

Professor Susan Parnell, Department of Geography at the University of

Cape Town.

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vii

Dr Jennifer Robinson, Senior Lecturer in the Department of Geography at

The Open University, United Kingdom.

The composition of the reference group, however, changed over time. One reason

was that two members of the reference group chose to submit proposals and

withdrew from the reference group in order to avoid a conflict of interest situation.

Caroline Kihato and Doreen Atkinson are now contributors to the book.

The determination of the specific urban policies to be investigated in the book

started with advertising a call for proposals in the media, and by the use of widely

distributed email. The editors sifted through the proposals and selected some for

distribution to the reference group. With the recommendations of the reference

group in mind, the editors selected a limited number of proposals and the

potential contributors were asked to prepare detailed proposal submissions for a

second round of assessment. This process led to the identification of the specific

policies that would be investigated and the authors that would be commissioned to

write these up. In two cases where there were no satisfactory proposals for policy

investigation that the editors considered to be essential, the editors solicited pieces

from particular individuals.

Each proposal was assessed on the basis of three criteria:

• Relevance of the policy as it pertains to urban development;

• Academic rigour; and

• Different perspectives that could be brought to bear in relation to South Africa’s

evolving urban environment, and the scholars that could articulate this.

The themes included in the book emerged from the proposals but, in retrospect,

are self-evident. First, there are chapters that describe how government set out to

restructure and build democratic local governments and to enhance their ability

to deliver services and to promote socio-economic development. Second, there are

chapters that assess how government has attempted to give effect to ‘developmental’

local government through integrated development planning and local economic

development. Third, there are chapters that describe the policies for the delivery of

housing and services.

Two policies that might be said to be ‘missing’ are also included in the book. One

provides an investigation of urban spatial policy and the failure by government to

ameliorate the disadvantages associated with the ‘apartheid city’. Another concerns

the absence of an urbanisation policy that is intended to reverse the consequences of

past restrictions on the urbanisation of Africans and to guide the present unintended

urbanisation consequences of many government policies.

Unfortunately no proposals were received for urban transport and the recalcitrant

authors of a chapter on urban renewal failed to deliver.

A few acknowledgements need to be made. During the later stages of the preparation

of the book, the HSRC and the Development Bank of Southern Africa drafted a

PREFACE

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DEMOCRACY AND DELIVERY: URBAN POLICY IN SOUTH AFRICA

viii

memorandum of understanding to disseminate the findings of the publication to a

select audience of urban practitioners and municipal officials in order to practically

impact on the field of urban development. This agreement included funding from

the Development Bank of Southern Africa, which is highly appreciated.

During the course of drafting the chapters, some members of the reference group

reviewed and commented on draft versions of some chapters. In this respect, we

have, in particular, to thank Robert Beauregard, Susan Parnell and Alison Todes for

their many contributions.

Adlai Davids from the HSRC Knowledge Systems has also to be thanked for his work

on the maps.

Finally, we thank our contributors for what are no doubt important contributions to

the field of urban policy, and for their patience and forbearance with many editorial

demands. Indeed, one chapter was taken through seven iterations.

Three explanations are required for readers. The first is that the names of many

cities and towns referred to in this book changed between 1994 and 2004. A list of

old and new names is therefore included on the following page.

The second is that reference to local government changed to municipalities after the

1998 Local Government White Paper. Contributors to the book generally use both

references, depending on the timing and context.

The third explanation is intended for foreign readers. South Africans are excessively

given to abbreviations: RDP, IDP, DBSA, LED and so on. Whereas South Africans

sometimes become so used to the abbreviations that they forget the full name

referred to by the abbreviation, a foreigner only becomes operational in South

Africa after he or she learns the abbreviations. The editors of the book have removed

abbreviations when they occur only a few times, but in other instances please

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consult the list of abbreviations and acronyms for explanations.

ix

List of changes to place names

and/or boundaries

Old name New name

Cities

Bloemfontein Mangaung Municipality

Durban eThekwini Metropolitan Municipality

East London Buffalo City Municipality

East Rand Ekurhuleni Metropolitan Municipality

Pietermaritzburg Msunduzi Municipality

Port Elizabeth Nelson Mandela Metropolitan Municipality

Pretoria Tshwane Metropolitan Municipality

Areas

Vaal and Vaal Triangle Divided between Emfuleni Municipality and Midvaal

Municipality in Gauteng province

Witwatersrand Portions in City of Johannesburg Metropolitan

Municipality, Ekurhuleni Metropolitan Municipality and

municipalities in Westrand District Municipality

Secondary cities and towns

Harrismith Maluti a Phofung Municipality

Kimberley Sol Plaatje Municipality

Kuruman Ga-Segonyana Municipality

Mothibistad Ga-Segonyana Municipality

Nelspruit Mbombela Municipality

Paarl Drakenstein Municipality

Pietersburg Polokwane Municipality

Port Alfred Ndlambe Municipality

Richards Bay uMhlathuze Municipality

Former ‘homelands’

Ciskei Now included within the Eastern Cape province

Qwa-Qwa Now included within the Free State province

Transkei Now included within the Eastern Cape province

Gazankulu Now included within the Limpopo province

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x

Abbreviations and acronyms

ANC African National Congress

CBD central business district

CSIR Council for Scientific and Industrial Research

DFA Development Facilitation Act

DLA Department of Land Affairs

DoH Department of Housing

DPLG Department of Provincial and Local Government

FFC Financial and Fiscal Commission

GEAR Growth, Employment and Redistribution programme

GTZ Gesellschaft für Technische Zusammenarbeit (Agency for Technical

Co-operation)

HSRC Human Sciences Research Council

IDP Integrated Development Plan

LED Local Economic Development

LGNF Local Government Negotiating Forum

LGTA Local Government Transition Act

MIIF Municipal Infrastructure Investment Framework

NGO Non-governmental organisation

NHF National Housing Forum

NP National Party

NSDP National Spatial Development Perspective

RDP Reconstruction and Development Programme

SACN South African Cities Network

SALGA South African Local Government Association

Sanco South African National Civic Organisation

UDF Urban Development Framework

UDS Urban Development Strategy

UN United Nations

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1

Introduction

Udesh Pillay, Richard Tomlinson and Jacques du Toit

A number of books about urban South Africa have been published since the

democratic elections in 1994. Their central themes have concerned housing

backlogs, policy and delivery, the apartheid city and how the delivery of housing is

contributing to urban fragmentation, and governance issues.1

There have also been

a large number of publications on cities, especially on Johannesburg.2

These books

have generally been the product of geographers and planners and one finds in their

titles ‘fragmentation’, ‘divided’, ‘shaping’, ‘unsustainable’ and ‘crisis’. ‘Post-apartheid’,

of course, rings most loudly, with a crescendo of journal articles looking at urban

South Africa not in terms of its preferred future but in terms of its despised past.

Government has presented issues a bit differently. The conception of the future was

defined in the Reconstruction and Development Programme (RDP) by meeting basic

human needs, in the 1996 Constitution through giving effect to social rights, and in the

1998 White Paper on Local Government as a ‘historic opportunity to transform local

government’ (RSA 1998: v). It is this sense of opportunity and, indeed, enthusiasm and

optimism that underlay the preparation of urban policies in the early years, starting

with local government negotiations and in 1992 with the National Housing Forum. The

policies were prepared in great haste and driven by political agendas for the future.

The urban policies were at the same time simplistic and complex. They were

simplistic in setting targets for delivery whose realisation required ignoring other

development criteria; a million houses in five years being the notorious example of

a numerical goal overriding the need to build sustainable settlements. They were

complex in the transformation of local government and the need to align boundary

demarcation, institutional restructuring, financial and fiscal direction and resources,

all with a view to building democratic and developmental institutions.

A little has been written about the process of policy formulation and the research and

other influences that underlay it, with the focus shifting from housing and urban form

to governance and service delivery.3

There has not been a comprehensive assessment

of the urban policies formulated during the first ten years of democracy, the process

of formulating the policies and the influences on them.

The process of urban policy formulation covered in this book begins with the 1976

Soweto uprising, pays attention to the intense struggles in the townships during the

1980s, and then proceeds to a close examination of prominent urban policies and

policy formulation and implementation during the 1990s and on to 2004. In 2004

South Africa celebrated ten years of democracy.

1

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DEMOCRACY AND DELIVERY: URBAN POLICY IN SOUTH AFRICA

2

There have been three components to urban policy in South Africa up to 2004. Policies

to which close attention has been paid include those that gave effect to the ‘One city, one

tax base’ slogan that emerged during the township struggles. These policies included

re-demarcating municipalities to create integrated and democratic local governments,

the comprehensive restructuring of the local government system, and the design of

municipal financial systems that support service delivery to the poor. Another set of

policies revolves around the creation of ‘developmental local governments’ and includes

integrated development planning and local economic development. A last set of policies

refers to the mass delivery of free housing and services within municipalities.

In effect, the national, provincial (in the case of housing) and municipal and sectoral

policies included in this book have sought to enable local government to undertake

delivery, plan for delivery and implement delivery in consolidating democracy. Thus,

government’s urban policy has focused on meeting the commitment in the RDP

to provide for the basic needs of all South Africans, and building democratic local

government institutions and enhancing their ability to promote socio-economic

development in urban areas.

A further section of the book is devoted to a chapter on urban spatial policy and

another on the absence of an urbanisation policy and present policies that are having

unintended consequences for urbanisation. These two chapters provide both a

contextual introduction to the book and point to the absence of policies that effectively

counter a century of efforts to prevent the urbanisation of the African population.

Most of the urban policies have been debated and evaluated, but there has not been

an attempt to document the history of the policy formulation processes in relation

to experience with the policies and subsequent revisions to the policies. This book

serves this purpose; with the intention also being to evaluate the influence of research,

advice from international development agencies and comparative experience, and

political and economic pressures during the policy formulation processes. The focus

is essentially on the sphere of government where policy is ‘passed’ (national), and

the sphere of government most responsible for implementation (municipal).

Backdrop

At the time of the 1994 democratic elections, South African cities were characterised by

dire housing and services backlogs, inequalities in municipal expenditure, the spatial

anomalies associated with the ‘apartheid city’, profound struggles against apartheid local

government structures, high unemployment and many poverty-stricken households.

The African National Congress’ (ANC) commitment to addressing these issues can

be traced to the 1994 RDP, which committed government to meeting the basic needs

of all South Africans. Housing and services such as water and sanitation, land, jobs

and others were counted as basic needs. The RDP also included the commitment to

the restructuring of local government with a view to meeting these needs. The ANC

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INTRODUCTION

3

recognised the key role of local government in delivering services and promoting

economic development and called for the re-demarcation of local governments with

a view to urban integration and democracy, the creation of a single tax base, and the

cross-subsidisation of municipal expenditure. Local governments were to become

central to overcoming the backlogs.

However, the ANC confronted a fundamental difficulty. At the time it was unknown

how many households suffered from services backlogs; what household incomes

were and what services levels they might afford; whether local governments had the

capacity to deliver services, as well as knowledge of alternative means of ensuring

service delivery such as public–private partnerships; and how the capital and

operating costs of the services might be financed. Indeed, there was only inexact

data regarding the number of households in urban and rural areas. The same

difficulties were not experienced in the case of housing, since the housing backlog

had been estimated at the National Housing Forum (1992–1994) in the broadest

possible terms, as being 1.5 million units.

It was due to this lack of household and services information, and a lack of clarity

regarding options for delivering services, that, in 1995, the first version of the

Municipal Infrastructure Investment Framework (MIIF) was prepared (Ministry

in the Office of the President and the Department of Housing 1995). All too often

based on informed guesstimates, the MIIF provided the ‘missing’ data and suggested

how services might be delivered and financed.

At the same time as the MIIF was prepared, government was putting in place the

preconditions for the ‘One city, one tax base’ policy: re-demarcating and creating

integrated local governments in time for the 1995 and 2000 local government

elections, with the latter being viewed as the ‘final stage’ in the creation of

‘developmental local government’. Examples of the policies and policy frameworks

that emerged over time include integrated development planning, local economic

development, free basic services, and municipal services partnerships. Housing

policy was an exception to this transformation because, in 1992, negotiations began

in the National Housing Forum, and by the time of the 1994 democratic elections

what was, in effect, a draft housing White Paper was in place.

Many urban policies have subsequently been revised in the light of experience and,

importantly, also as government extended its democratic agenda. Free basic services

provide an example. During the 1980s one of the means employed to oppose the

Black Local Authority system was a boycott on payment for rent and services. A

decade and a half later, after it became clear that the widespread failure to pay for

services showed no sign of stopping and also that many households could not afford

to pay for services, the ANC and later government adopted the free basic services

policy. This represented a break with the earlier principle included in the MIIF that,

taking into account the potential for cross-subsidisation, consumers of water and

electricity should pay an amount for services consumed.

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DEMOCRACY AND DELIVERY: URBAN POLICY IN SOUTH AFRICA

4

The context for urban policy formulation

Population growth and urbanisation

In the first instance, the context for urban policy is the size of the urban population,

its location, how rapidly it is growing, and where it is growing. The South African

census defines four types of areas: ‘tribal’ (former ‘homeland’), ‘rural formal’ or

‘commercial farming’, ‘urban formal’ and ‘urban informal’.4

At the time of the 2001 census, South Africa’s population was 44 819 318 with about

57 per cent of the population deemed to be urban and 43 per cent rural. Forty-seven per

cent of the urban population lived in formal urban areas and 8 per cent lived in informal

urban areas. Thirty-five per cent of the rural population lived in tribal areas and 7 per cent

in commercial farming areas. The 3 per cent difference comprises overlapping urban and

rural categorisation – institutional housing, hostels, industrial areas and smallholdings –

with 2 per cent being found in urban areas and 1 per cent in rural areas.

The location of most of the urban population is depicted in Figure 1.1, which shows

the nine largest cities that are members of the South African Cities Network (SACN)

and also provincial capitals that are not included in the SACN. The SACN cities

are Johannesburg, eThekwini, Cape Town, Tshwane, Ekurhuleni, Nelson Mandela,

Buffalo City, Msunduzi and Mangaung. In addition to the cities, Figure 1.1 also

reflects population density. Aside from Cape Town, it is apparent that most of the

country’s population lives in the eastern half of the country.

Figure 1.1 Cities comprising the SACN and provincial capitals

Source: HSRC

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INTRODUCTION

5

Figure 1.2 shows the population size and the number of households living in

the cities included in Figure 1.1. Johannesburg and eThekwini have more than

three million inhabitants and Cape Town has close to that number. Ekurhuleni

and Tshwane follow, with Ekurhuleni having about 2.5 million inhabitants and

Tshwane 2 million inhabitants. In practice, the three cities in Gauteng comprise a

single conurbation with a population of 7.7 million persons, approximating what

the international literature has recently referred to as the emergence of global ‘city

regions’ (Pillay 2004). The last city with metropolitan status, Nelson Mandela,

has about a million inhabitants, with Buffalo City, Mangaung and Msunduzi, not

classified as metropoles, having much smaller populations. The smaller populations

are also true of Polokwane and Mbombela, with a considerable drop to Mafikeng and

Sol Plaatje. Sol Plaatje is located in the Northern Cape, which is losing population.

Figure 1.2 Population and household numbers of SACN and selected secondary cities, 2001

Source: HSRC

In the case of the SACN cities, the most rapid growth is occurring in Gauteng. As can

be seen in Figure 1.3, the populations of Johannesburg, Ekurhuleni and Tshwane, at

22.2 per cent, 22.4 per cent and 18.0 per cent between 1996 and 2001 respectively,

are growing more rapidly than any other of the SACN cities (SACN 2004: 38). At

the same time, cities like Nelson Mandela, Msunduzi, Mangaung and Buffalo City

are growing at a rate below that of the nation.

3 500 000

3 000 000

2 500 000

2 000 000

1 500 000

1 000 000

500 000

0

Population

Households

Number

Johannesburg

eThekwini

Cape Town

Ekurhuleni

Tshwane

Nelson Mandela

Buffalo City

Mangaung

Msunduzi

Polokwane

Mbombela

Mafikeng

Sol Plaatje

City

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