Philosophiae Doctor - PhD

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Water provision within Sub-Saharan Africa: A case study of Namibia
(University of the Western Cape, 2024) Amutenya, Tekla; Davids, Gregory
This study addresses the global imperative of sustainable water provision, focusing on Sub-Saharan Africa, where nearly two-thirds of the population faces severe water scarcity, and insufficient water supplies affect over two billion people. It recognises the elusive nature of achieving sustainable water provision in Africa, emphasizing the under studied domain of public service delivery, particularly within local government responsible for critical services like drinking water, wastewater treatment, sanitation, and waste management. Centered on Sub-Saharan Africa, specifically Namibia, this qualitative study investigated the impact of internal decision-making processes, self-interest, financing models, and monitoring and evaluation practices on water provision within urban local authorities. The overarching goal is to develop and enhance a comprehensive framework for policy adoption and implementation, promoting sustainable water and sanitation service delivery in developing countries. The study adopted a qualitative research paradigm and it utilised various data collection techniques, including in-depth interviews with council members, open-ended questionnaires to employees of key water institutions, and observations.
The politics of coordination in the Western Cape: the case of national, provincial and local government (2010–2018)
(University of the Western Cape, 2023) Rashe, Sivenkosi Aretha
Coordination and strategic alignment within the state have long been buzzwords in South Africa’s policy community since the dawn of democracy. SA has a complex intergovernmental system involving constitutionally independent spheres – a scheme that the African National Congress (ANC) initially resisted -- but accepted in 1994. Co- ordination in the interest of the impoverished majority has continued to fail for many reasons despite many attempted remedies. Academic research lacks a comprehensive exploration of how managers navigate power dynamics across different geographical scales and how these strategies are implemented and challenged through formal and informal means. In other words, managers may need to deal with power dynamics within their immediate teams or organisations and at broader regional, national, or global geographical levels. The thesis focuses on the politics of multi-level coordination in the Western Cape (WC). In this relative success story, the Democratic Alliance (DA) governs the province and the City of Cape Town (CoCT). The case study explores contradictions by documenting and analysing the perceptions, experiences, and understandings of various actors about the identity and priorities of the state and the hidden nature of the managerial politics of policy implementation and coordination in the WC. Three key issues in policy and coordination failure that emerge are persistent racial divides, class-spatial divides and differing visions and values for a good society and country. The boys' network ensures an informal network for effective intergovernmental relations (IGR) in the province amongst municipal managers. Due to the closeness of the officials, negotiations and coordination operate on an informal basis. The personal ties and relations among the municipal managers in the WC indicate that the coordination efforts are cordial. Besides, the municipal manager is conscious that any one of the role-players’ actions should not harm other role-players or trample on turf for coordination to be coherent.
Civil society and citizen participation in governance processes in Zimbabwe, 1997-2010
(University of the Western Cape, 2011) Mapuva, Jephias; Thompson, Lisa
The deteriorating political environment in Zimbabwe, especially from the mid-1990s culminated in the emergence of pro-democracy CSOs that sought to engage the authoritarian to encapsulate democratic principles and enhance citizen participation in governance processes in Zimbabwe, especially from 1997 to 2010. The case studies are the Combined Harare Residents ' Association (CHRA), the National Constitutional Assembly (NCA), Women of Zimbabwe Arise (WOZA) and the Zimbabwe Human Rights Organization (ZimRights). Interviews and questionnaires conducted on CSO secretariats and members and complemented by documentary analysis presented as qualitative and quantitative data respectively. Data is drawn from a cumulative total of 300 tasks. The analytical framework is drawn from debates around the interconnectedness between democracy, governance, civil society and citizen participation provide.
Mechanisms for facilitating trust and sense of belonging as aspects of social cohesion in local government: Exploratory case studies of the City of Cape Town and the City of Ekurhuleni
(University of the Western Cape, 2022) Khaile, Fundiswa Thelma; Roman, Nicolette
More than twenty-five years after the end of the apartheid system of government and its statutory segregation, South African communities continue to reflect high levels of racial and social divisions. The prevalence of these issues has reinforced an environment characterised by high levels of inequality, weak social cohesion, exclusion and segregation emanating from an untransformed and unjust spatial legacy. To respond to these challenges, municipalities as the sphere of government closest to communities are expected, among other things, to facilitate trust and a sense of belonging in order to realise a cohesive society.
Social media, protest and citizen participation in local government: A comparison between the City of Cape Town and Johannesburg metropolitan municipalities: 2010 to 2017
(University of Western Cape, 2022) Maseko, Maxwell Makhangala; Ruiters, Greg
This study’s central focus is to assess how various classes of people in in distinct localities across Cape Town and Johannesburg use social media in citizen participation concerning municipal governance processes. While largely drawing on interviews, the study also uses quantitative descriptive data. While some scholars believe that social media use will contribute to civic decline, others think that it has a role to play in re-invigorating civic life. This study has found that there is a gap in understanding important differences in the ways various classes in different contexts mobilise and adapt social media and that the capacity of the “poor” and their social movements to engage as collective citizens using social media has been understated. The wealthy social movements rely more on litigation and money power. Each social group adapts social media to suit its socio-political imperatives and context. South Africa’s major municipalities still lean towards traditional spaces of citizen participation and bureaucratic insulation.
Urban Housing Policy in Zimbabwe and its Institutional Structures: Reflecting on the Housing Challenge in Harare, 1980-2020.
(2021) Poshai, Leon; Williams, John J
This thesis is a contextual analysis and reflection of the urban housing policy making process in post-independence Zimbabwe, buttressed by empirical research. The focus of the thesis is on understanding the nature and characteristics of the urban housing policy in Zimbabwe and how its formulation and implementation processes are influenced by institutional structures embedded in urban councils. The thesis relates to institutional structures such as the vision and mission statement, the institutional hierarchy of authority, discipline systems, principles and value systems, rules and operational codes of conduct as well as the institutional culture. Central to this thesis is an exposition of how these institutional structures influence and regularise the activities of urban housing policy actors in Zimbabwe’s urban councils. The research proceeds from a global analytical perspective of the evolution of urban housing challenges to a conceptualisation of urban housing policy. The thesis describes how Zimbabwe’s urban areas are the main hubs of economic activities and labour magnets for the country’s economically active population – a situation that has generated housing shortages, resulting in widespread residential overcrowding and the proliferation of irregular settlements that lack basic services like piped water and electricity. Moreover, the thesis elaborates on how the urban housing situation in Zimbabwe has put urban local authorities under the spotlight as they are expected to not only be responsive to the institutional requirements but also advance proactive planning measures to deal with persisting housing predicaments in the country. Principally, these contextual measures constitute urban housing policies which are formulated and implemented as guiding frameworks for the development of programmes, projects and strategies to combat the persisting urban housing challenges. Qualitative methods namely, key informant interviews and focus group discussions were used to collect data. Twenty-five key informants were purposefully selected and interviewed to provide analytical insights into urban housing policy formulation, its implementation and how is influenced by institutional structures. Given the COVID-19 pandemic restrictions, some of the key informant interviews were telephonic. The study found that while institutional structures are the functional operatives of urban housing policy decision making in Zimbabwe, they have contributed to the formulation of inconsequential urban housing policy and the implementation thereof. The research also found that urban housing institutions in Zimbabwe have a politicised and inflexible institutional structures which makes it difficult for these institutions to formulate appropriate housing policies to provide adequate housing to the people. As the research revealed, institutional structures have generated regularised channels of policy decision-making and this has become institutional weaknesses against successful urban housing policy making in Zimbabwe. This dent is compounded by limited financial resources to implement the designed housing projects. The study established that ineffective urban housing policy formulation and implementation has left the majority of urbanites with severe shelter shortages, socio-economic deprivation, thereby undermining their daily livelihoods. The thesis proposes that delinking urban housing institutions from political control and structural impediments can facilitate innovation in urban housing policy making and contribute substantively to the improvement of housing provision in urban Zimbabwe.
Local Government Capacity for Policy Implementation in South Africa: A Study of the Saldanha Bay and Swellendam Municipalities in the Western Cape Province
(University of the Western Cape, 2009) Davids, Gregory Jerome; Mphaisha, Chisepo J.J.
Local government in South Africa is an autonomous policy implementation arm of the government system. The purpose of this study was to examine the institutional, organisational, and human resource capacity challenges the Saldanha Bay and Swellendam Municipalities in the Western Cape faced in their policy implementation especially on poverty alleviation. The objectives of the study were to develop a theoretical framework for examining institutional, organisational and human resource capacity in the Saldanha Bay and Swellendam Municipalities; to discuss the local government constitutional, legislative and policy framework within which the Saldanha Bay and Swellendam Municipalities delivered services to communities; to examine the capacity challenges in the service delivery of the Saldanha Bay and Swellendam Municipalities and, thereby, highlight operational problem areas; and to make general policy recommendations on the basis of the research findings of the study. The methodology used was the case-study approach. It allowed an in-depth understanding of the dynamics present within Saldanha Bay and Swellendam municipality. The methodology enabled the researcher to answer the research question: In what ways, and with what results has institutional, organisational and human resource capacity affected service delivery in the Saldanha Bay and Swellendam Municipalities in the Western Cape? The major findings of the study were that local government capacity for policy implementation is directly influenced by the presence or otherwise of institutional, organisational and human resource capacity. These dimensions of capacity are mutually inclusive, independent and interrelated in practice. The study makes several policy recommendations. In the area of institutional capacity the recommendations were that floor-crossing legislation and practices must be done away with; that weak capacitated municipalities ought to be alleviated by public - private partnerships as a mechanism to enhance a municipality's ability to develop and implement policy; and that instead of solely setting standards and monitoring performance, the provincial treasury should assist municipalities to acquire financial competencies. In the area of organisational capacity it was recommended that the community ought to participate in the recruitment and selection committee of the Municipal Manager. It was also recommended that municipalities should establish district-wide forums for financial heads whose purpose would be to create a platform for collaboration, and for the exchange of ideas. And in the area of human resource capacity it was recommended that district municipalities ought to assume a more prominent role in building the capacity of the local authorities with which they share legislative and administrative powers. It was also recommended that both the administrative and political leadership ought to participate in compulsory executive and/or leadership training programmes SALGA implements through some tertiary educational institutions and/or through private service providers.
In the Best Interest of the Child: Food Choices and Body Mass Index of Adult and Children Living in Urban Peripheral Townships in Cape Town
(University of the Western Cape, 2020) Belebema, Michael Nguatem; Mulugeta, F Dinbabo
The increase in overweight and obesity worldwide is described as a global health epidemic. A great proportion of this epidemic is now found in low- and middle-income countries with higher levels of prevalence, particularly in emerging economies. In sub-Saharan Africa, South Africa ranks high in the prevalence of obesity at all levels. Since the inception of democracy in 1994, the government is yet to overcome the burden of poverty and inequality routed in its apartheid past. Apartheid systematically and unjustly disintegrated and segregated black Africans and people of Colour, denying them access to economic opportunity, thus leaving them on a dependency status. Khayelitsha and Mitchells Plain are the relics of apartheid policies. Obesity and associated diseases are highly correlated with gender dynamics, economic conditions, nutritional status, poverty, and urbanisation. It is increasingly evident that poor urban dwellers, especially women and children are at risk of obesity-related factors such as diabetes, hypertension, and heart diseases. The increasing incidence of obesity especially amongst children is concerning. The prevalence of child poverty is in South Africa is a cause for concern. Over 18.5million children are in South Africa, 64% of which are dependent on CSG. With poverty and inequality affecting millions of households, access to food and quality food has reached crises level. Yet, it is a basic human right that has received little empirical response amongst policymaker in South Africa. The South African food system is complex, poverty is endemic and poor households are most vulnerable to unhealthy eating habits. This research critically analysis the link between food choices, overweight and obesity in adults and children living in urban peripheral communities in Cape Town. The study was designed to interrogate the kinds of food eaten by urban peripheral dwellers, their socioeconomic status and how the policy of the BIC addresses the problem of child obesity in South Africa. This research aimed to empirically explore the relationship between BMI and food choices of adults and children living in urban peripheries in Cape Town. The study also aimed at evaluating the BIC in urban townships in Cape Town in the context of child obesity, to understand the views of the children and to understand how poor households are ensuring the BIC in relation food access, food availability and child protection from obesity. The study further aimed at comparing the and contrasting the socioeconomic dynamics of the two population to understand the progress and gaps in their economic and health status. Empirical data were collected from households in Khayelitsha and Mitchells Plain using a two-stage sampling technic to identify clusters and households. A sample of about 4300 individuals in 1052 households was sampled. A 24H dietary recall was used to capture food types of the population. The World Health Organisation guidelines for BMI adults and children were applied through the study. A BIC Index was developed to assess the right to food from the views of the child. First, the study found significant differences in the socioeconomic and demographic profiles of the population. Poverty and the risk of falling into poverty were higher in Khayelitsha than in Mitchells Plain. Two-third of the population (65%) of adults we found to be overweight and obese. Overweight and obesity amongst children was 29% and 68% of children reported that they buy food at school or on their way to school. Over 83% children stated that their parents give them money to take to school. There was a significant association between children buying food and parents giving money at X2 91.4643, P<= 0.000. Carbohydrate represents 40% and sugar 35% of food types children eat away from home. In terms of the BIC, 43% of the children
Evaluation of the effects of micro, small and medium enterprises finance policy on job creation in Nigeria
(University of the Western Cape, 2019) Taiwo, Olusade; Ile, Isioma Uregu
The researcher attempted to assess the effectiveness of Bank of Agriculture (BOA) microloan scheme on job creation among micro and small enterprises. This is in view of the unprecedented rise in the unemployment rate in Nigeria and the widely perceived belief that among other policies, harnessing the financial capacity of micro, small and medium enterprises (MSMEs) may possibly dictate the pace of the country’s achievement of job creation. Despite a wide array of studies on MSME growth, only a handful of rigorous studies are available to provide evidence of the effect of finance on labour market outcomes in the sector, as well as on the use of more relevant assessment techniques on the performance of public policies and interventions related to MSME financing. Through the use of mixed methods including questionnaire administration, key informant interviews, focused group discussions and desk research, this research undertook a theory of change-based assessment of Bank of Agriculture microfinance scheme, to assess the extent to which the scheme is effective in contributing to the achievement of the MSME Policy’s fundamental objective of job creation. Descriptive statistics using frequency tables and graphs as well as OECD COTE (Coherence, Objectives, Targets and Evaluation) Framework for policy formulation were applied as methods of analysis. The findings show a fundamental flaw in relation to the lack of strategic alignment of the Bank of Agriculture (BOA) operations with the MSME Policy. The Bank is seen to be operating in a silo as the strategic direction the MSME tilt does not seem to derive from the overall MSME Policy. BOA is also not seen to be positioned to engage the practice of performance measurement and reporting generally and in particular of the fundamental objective of job creation, as stipulated in the MSME Financing Policy of government. It was also revealed that a majority of enterprises that took BOA microloans loans were not able to create jobs as many of them were operating as “survivalists”. Although the BOA microloan scheme is potentially capable of supporting targeted growth-oriented microenterprises in specific trades to create jobs, given the attractive concessional terms, the Bank is not achieving this objective in its present state and form neither is it seen to be positioned to do so due to several supply and demand side factors. An ongoing reform process in the Bank during this research period may be able to address part of this concern if more strategic steps are taken to surmount the constraints. Furthermore, BOA does not have a functional performance measurement framework and monitoring and evaluation system that can be used as the basis for measuring goal attainment such as the goal of job creation, especially in relation to the outcomes of the provision of financial services to the MSME sector. For BOA to be successful and truly developmental in focus especially in relation to its contribution to the strategic objective of job creation, the study therefore recommended the key thrust of a new framework for addressing the current unemployment situation to include an effective alignment of macro, meso (sectoral) and micro policies. At the (micro) institutional level, it is recommended that BOA should: • improve its governance and management system as well as the integration of development impact considerations and measurement; • create innovative financing products for growth-oriented microenterprises especially through cluster financing and cluster-based development; • increase wholesale lending through the provision of on-lending products to performing microfinance institutions (MFIs); • engage the services of BDS organisations to source for credible clients and build clients’ entrepreneurial capacity including assisting them to access markets. In line with the need to integrate development impact considerations and measurement into its entire operations, the researcher designed a monitoring and evaluation framework that can enhance the tracking of the attainment of job creation policy goal in BOA microloan scheme. In this vein, the institution is to adopt formal “lessons learnt” mechanisms to integrate evaluation findings into future activities and “put development back into development banking” (Smallridge, 2017). At the meso level in the study context, horizontal cooperation is recommended where all relevant institutions are aligned and the impact of various policy measures on entrepreneurship and job creation are taken into account. Lastly, an employment – sensitive macro-economic framework must pursue: the relaxation of monetary and credit conditions that are supportive of employment creation in the economy; fiscal prudence in the context of exploiting fiscal space to accommodate investments with high employment potentials; use of legislative mechanisms for ensuring full and effective implementation of annual budgets, program and projects at all levels and development and effective use of computerised Labour Market Information System (LMIS) for Nigeria.
Municipal budget oversight by multiple principals: A case study of the Western Cape province
(University of the Western Cape, 2018) Khaile, Samuel Thabo; Ruiters, Gregory
The transformation of local government in South Africa has established a complex model of multiple principals exercising municipal budget oversight on municipal managers. However, earlier research has not sufficiently focused on the phenomenon of the multiplicity of principals and its wider institutional architecture, relationship dynamics and effects in order to understand the institutional constellations of oversight principals, their behaviour and their interactions on the municipal budget process. Particularly, an empirical exploration focusing on understanding the experiences and perceptions of municipal managers and oversight principals on oversight through the multiple principal model remains elusive. The aim of this study was to explore and describe the experiences and perceptions of municipal managers, municipal councillors and the Provincial Treasury on the multiple oversight principals’ model, its manifestations, dynamics and effects on municipal budget oversight. The study utilised principal-agent theory to develop a conceptual and theoretical framework, and utilised the interpretive qualitative case study of the Western Cape to guide the research process. A sample of respondents consisting five (5) municipal managers, one (1) Provincial Treasury representative and ten (10) municipal councillors from municipalities in the Western Cape were interviewed for the study. The transcribed data from the 16 interviews were analysed, using a qualitative analysis method. The study findings reaffirmed the existence of multiple principals bequeathed with authority to exercise of municipal budget oversight in the Western Cape Province. Strong evidence emerged that application of the multiple principal model manifests independent, conflicting and fragmented budget oversight relationships and behaviour between the Provincial Treasury and municipal councillors during different stages of the municipal budget process. While the study acknowledges that the model and its application generates both positive and negative effects resulting in too complex, onerous and conflict-prone oversight relationships, it also highlighted these effects as necessary intrinsic attributes that do not necessarily have to manifest adverse consequences on the municipal budget oversight. These findings contradict the common-sense advocates for a collective model that emphasises coordination to improve cohesiveness among oversight principals, especially between the Provincial Treasury and the municipal councillors. The findings confirm that the Municipal Finance Management Act has consciously established a responsive system that distributes oversight among autonomous political structures in order to comprehensively eclipse the discretion of the municipal manager with varied and complementary oversight expertise, energy and diversity.
Transferability of Policies and Organisational Practices across Public and Private Health Service Delivery Systems: A Case Study of Selected Hospitals in the Eastern Cape: Exploring Lessons, Ambiguities and Contradictions
(University of the Western Cape, 2016) Mpofana, Mziwonke Milton; Ruiters, Gregory
Since the advent of South Africa‘s democracy in 1994 there have been several changes in the policy and legislative arena specifically promoting public-private-partnerships in the health sector. These initiatives have given rise to opportunities for inter-sectoral policy transfer under the rubric of ―best practices‖. This exploratory study examines the character, obstacles and contested nature of a selection of policy transfers between private and public health institutions in a single province of South Africa. The study looks at the dynamics at play around envisaged, current and past transfers of policies and organisational practices in relation to administrative systems and technologies used in four different hospital settings – two public and two private hospitals in the Eastern Cape Province of South Africa. This thesis explores the views of managers and labour organisations about policy transfer focusing on local contexts, and how various parties construct policy transfer, hence providing a perspective of policy at the ―plant‖ level. In this research, special focus is placed on different agents‘ role and understandings of their contexts and how and why policies move and contradictions of these developments. In-depth interviews were conducted at four major Eastern Cape hospitals. The thesis argues that in practice, policy transfer is messy, politicized and traversed by power and vested interests and that organised labour plays a key role in policy transfer process. The thesis focuses on the different philosophical/ideological underpinnings, socio-political values and operational environments in each sector. This study is designed to contribute to existing knowledge on practices particularly between the public and private sectors in order to widen the understanding of the complexity of transferability.
Government housing rectification programme and practice in South Africa: A case study of three selected Eastern Cape communities
(University of the Western Cape, 2018) Sharpley, Gaster Gilbert; Ruiters, Gregory
In 1994, democratic South Africa adopted the Reconstruction and Development Programme (RDP). The construction of houses for the poor was framed as a fundamental measure of restoring the dignity of the poor and as a victory for rational policy making in South Africa. The mass building of free housing was intended to address homelessness, reduce informal settlements and promote social change through home ownership. But, within the first five years, serious defects emerged in a large number of houses. In 2006, this resulted in the Department of Housing introducing a Rectification Programme that was intended to be for a limited period, but was extended due to the unprecedented number of defective houses. This study covers three rectification sites in order to probe the hidden costs, human consequences, and the contradictory policy processes and politics of accountability in public housing. The sites cover projects in an urban, rural and Peoples Housing Process (PHP), thereby covering the broad spectrum of housing delivery. The study involved quantitative and qualitative research with beneficiaries, practitioners and politicians. The popular perception is that rectification is the outcome of shoddy workmanship, but the study proves that there are several other underlying considerations that drove the programme, including the framing of the housing ?problem?, homeownership as a paradigm and resulting issues of house maintenance. The rectification of RDP homes is a metaphor for misdirected policy and implementation failures in South Africa.
Transferability of policies and organisational practices across public and private health service delivery systems : a case study of selected hospitals in the Eastern Cape : exploring lessons, ambiguities and contradictions
(University of the Western Cape, 2016) Mpofana, Mziwonke Milton; Ruiters, Gregory
Since the advent of South Africa's democracy in 1994 there have been several changes in the policy and legislative arena specifically promoting public-private-partnerships in the health sector. These initiatives have given rise to opportunities for inter-sectoral policy transfer under the rubric of ―best practices‖. This exploratory study examines the character, obstacles and contested nature of a selection of policy transfers between private and public health institutions in a single province of South Africa. The study looks at the dynamics at play around envisaged, current and past transfers of policies and organisational practices in relation to administrative systems and technologies used in four different hospital settings – two public and two private hospitals in the Eastern Cape Province of South Africa. This thesis explores the views of managers and labour organisations about policy transfer focusing on local contexts, and how various parties construct policy transfer, hence providing a perspective of policy at the ―plant‖ level. In this research, special focus is placed on different agents' role and understandings of their contexts and how and why policies move and contradictions of these developments. In-depth interviews were conducted at four major Eastern Cape hospitals. The thesis argues that in practice, policy transfer is messy, politicized and traversed by power and vested interests and that organised labour plays a key role in policy transfer process. The thesis focuses on the different philosophical/ideological underpinnings, socio-political values and operational environments in each sector. This study is designed to contribute to existing knowledge on practices particularly between the public and private sectors in order to widen the understanding of the complexity of transferability.
Xenophobia and the role of immigrant organizations in the City of Cape Town
(University of the Western Cape, 2015) Uwimpuhwe, Denys; Ruiters, Greg
The aim of this study is to develop an understanding of Cape Town's foreign African immigrants by looking at the profile, character and role of immigrant associations and how they shape survival strategies as well as possible paths to the integration of African immigrants. The thesis seeks to develop an understanding of the mediating role played by Cape Town's African foreign immigrant organisations. I also look at the transnational activities of these organizations. I selected Cape Town because it prides itself on liberal values of toleration, diversity and non-racialism while at the same time branding itself as an African City. The City of Cape Town has no comprehensive policy that protects or promotes the immigrants’ interests. The study of the agency and organisations of foreign African immigrants has been singularly neglected by scholars who have been mostly concerned with understanding why South Africans are xenophobic. This study is largely qualitative with life stories interviews that shed light on the context of exit and reception of African immigrants in Cape Town and reveals the hardship immigrants endure and the problems they face in their efforts to integrate into South African society. The thesis shows the different kinds of exclusions African immigrants face in both private and public spaces and highlights also the role of immigrant's organizations in negotiating space and dealing with xenophobic attacks on their community members. My findings concur with the work of key scholars such Alejandro Portes. Immigrant organisations have a variety of activities and sub-organisations that promote both transnational and local collective action. The thesis documents types of immigrant organisations, their characteristics, location, membership, objectives, activities and their efforts in assisting their members in cases of xenophobic attacks. In Cape Town, immigrants have formed organizations that help them to network with one another in order to negotiate space in this hostile environment.
The moderating effect of microfinance on the financial constraints to SMME growth in South Africa
(University of the Western Cape, 2016) Omer, Nasraldin Abdelkarim Eldod; Peters, Ricardo; Visser, Kobus
Small, Medium and Micro Enterprises (SMMEs) play a significant role in an economy. Thus, governments all over the world concentrate on the development of the small business sector to endorse economic growth. SMMEs are a large contributor to the creation of job opportunities, improvement of the economy, and promote the effective use of regional resources which leads to the engineering of economic development and growth. SMMEs are an important source of jobs, entrepreneurial spirit and innovation and are thus vital to promoting competitiveness. However, despite the noted contribution of SMMEs, in many countries they face serious constraints, often resulting in failure. The constraints and economic environment have significant and unequal effects on SMMEs in different industries and in different locations. Constraints have been used, amongst other growth factors, to understand why some SMMEs fail to grow.This study lays the foundation for understanding the concept of SMME growth. SMME growth was examined in detail, and found to be heterogeneous in nature. The variation in measures used in SMME growth studies, the variation in growth indicators, the variation in the measurement of growth over time, and the variation in the characteristics of the SMMEs are all important features of SMME growth as a phenomenon. SMME growth models were examined to further understand why some firms survive and grow, and others fail. The models examined the problems SMMEs experience at different stages of growth, and the actions to be taken to overcome them as they progress from one stage to the next. Four growth models identified in the literature is discussed: stochastic models of firm growth, the resource-based view of firm growth, the motivation view on organizational growth, and the life cycle view of firm growth. The study then discussed the concept of constraints to growth, and conducted a literature review on the effect of some factors that act as constraints to SMME growth. It was concluded that constraints have a negative effect on SMME growth. The study also discussed various theoretical models on the financing of firms, starting with the traditional concept of the financial behaviour of firms. The relevancy of trade-off theory, agency theory, and the pecking order theory to SMME finance and capital structure is also examined. The theories explain the financial behaviour of enterprises, taking into account their different characteristics and problems. It is suggested by the theories that internal sources of finance such as equity, retained earnings, and venture capitalists represent the cheapest and best source of SMMEs capital structure. The study applied a quantitative research survey. The approach enabled the determination of the factors acting as constraints to SMME growth, and examination of how SMMEs could overcome these constraints to survive and grow. The approach chosen aims at investigating the moderating effect of microfinance on the relationship between financial constraints and SMME growth. The primary aim of this study was to explore and investigate the factors acting as constraints to SMME growth. The study investigated the effect of nine types of constraints on SMME growth namely: lack of access to finance, lack of skilled employees, competition, corruption, lack of professional financial advisors, lack of clear business plan, government rules and regulations, lack of awareness of financial services and assistance, and lack of government support. The study also empirically examined the moderating effect of microfinance on overcoming, avoiding or mitigating the financial constraints to SMME growth in South Africa, particularly in the province of the Western Cape. In order to assess the aim of the study, five secondary objectives were developed. The objectives were subdivided into seven hypotheses. The study found evidence that the lack of skilled employees, competition, corruption, lack of awareness of financial services and assistance, lack of professional financial advisors and lack of access to finance were significant constraints to SMME growth in South Africa. An important contribution this study makes is that microfinance provides a way to overcome or mitigate financial constraints for SMMEs. The negative effect of a lack of professional financial advisors and the lack of access to finance is reduced when SMMEs make use of microfinance source. As such this is an important finding that adds to existing studies on the role of constraints as well as to the literature on entrepreneurship in developing economies. However, contrary to the study hypothesis, microfinance does not moderate the relationship between the lack of awareness of financial services and assistance, and SMME growth. This can be attributed to the important role that has to be played by the microfinance institutions (MFI) and government agencies in ensuring that procedures are simple, financial products are demand driven, and clear and brief financial information is provided. These results imply that microfinance can play a positive role in SMME growth particularly for SMMEs that experience financial constraints. The study also suggests that MFIs and government agencies should provide more information to the public in particular to SMMEs. This study is not without its limitations. Firstly, the study is based on the province of the Western Cape, of South Africa. In a South African context, with its two tiered economy, the Western Cape is perceived to be a "developed" economy as opposed to other developing African countries. Further studies can be conducted in other countries or can include samples from other provinces to compare the results. Secondly, as this study provides only a measurement at one moment in time, we are not able to establish causal and longitudinal effects. However, the sample size of this study is favourable in comparison to other recent studies, and thus provides extended validity. Future studies that apply longitudinal designs are needed to establish the causality of the relationships found in this study.
Techno-bureaucratic governance in a neo-patrimonial society : one-party dominance and the developmental state in Nigeria (1999-2014)
(University of the Western Cape, 2015) Thovoethin, Paul-Sewa; Piper, Laurence
Most African states today are facing the serious challenge of socio-economic development. This is a problem not generated by the paucity of material and natural resources, but rather by challenges arising from mismanagement of these resources. Nigeria is in fact, a good example of a country in Africa facing socio-economic development challenges not as a result of lack of resources, but rather the mismanagement of abundant resources at its disposal. This mismanagement is associated with the culture of prebendal, clientelist and neo-patrimonial politics which have made it extremely difficult for technocrats and bureaucrats to contribute adequately to the development of the country. In fact, as will be demonstrated in this thesis, technocrats in Nigeria are not allowed to occupy sensitive economic development positions for a sustained period of time and are never the driving forces in the formulation of socio-economic development policies and initiatives. In this country bureaucrats and technocrats have not been a stable force for development- given the constant changes of these groups by the political leadership and the splitting of sensitive ministerial portfolios for political reasons. Instead, political offices are captured and used for the benefits of office holders and those of their associated factions, class and ethnic groups. This negatively affects the insulation of appointed technocrats and bureaucrats from vested political interests. Therefore, instead of appointing or employing technocrats and seasoned bureaucrats to occupy relevant positions, appointments and employments are done in order for people to share from what is commonly referred to as ‘national cake’ in the parlance of Nigerian politics. Central to the argument of this thesis is that one-party dominance and authoritarianism does not necessarily undermines techno-bureaucratic governance, as the cases of countries like Japan, South Korea, Taiwan, Singapore in Asia as well as Botswana and South Africa in Africa suggest, but when such system is associated with politics of prebendalism, clientelism and neo-patrimonialism techno-bureaucratic governance becomes difficult and the achievement of state’s led development becomes more daunting. This work therefore investigates why attempts at promoting prebendalism, clientelism and neo-patrimonialism under Nigeria’s one-party dominant system undermines techno-bureaucratic governance. It also unravels how these have impacted negatively on socio-economic development of the country from 1999 to 2014. This study will contribute to the understanding of how the insulation of technocrats and bureaucrats from vested political interests can contribute to the development of the underdeveloped countries, using the developmental state argument as a basis of analysis.
Sporting lives and "development" agendas : a critical analysis of sport and "development" nexus in the context of farm workers of the Western Cape
(University of the Western Cape, 2016) Kaur, Tarminder; Lees, Marion Keim; Du Toit, Andries
This thesis is about the sporting lives of people who work and/or live at the commercial grape and wine farms of the Western Cape. Collectively referred to as farm workers, they are identified by the Western Cape Provincial Government as a priority group in need of "development". Over the past 15 or so years, proclamations and practices of "sport for development and peace" (SDP) have emerged as globally recognised phenomena, where sport is promoted as a tool to achieve a broad range of "development" objectives, including the Millennium Development Goals. As a research topic, SDP scholars examine the practical and theoretical usefulness of sport as a tool for addressing a diverse set of social, health, political and economic issues through education, diplomacy, inclusion, and awareness programmes. Instead of attending to the questions of whether or how sport might serve "development" ends, this study offers a critical analysis of the nexus between sport and "development" (SDN) in the context of farm workers of the Western Cape. Informed by James Ferguson‘s analysis of "development" as an 'anti-politics machine' (1990), I adopt a deconstructionist approach that examines issues beyond the narrow confines of "development" problems and programmes. As he argues, "development" continues to serve as a-central organising concept‘ to discuss and assess desired change in social and economic realms, which is evident in the programmes of farm worker "development" and how these continue to retain a place in the policy and political discourses on agrarian transformation in post-apartheid South Africa. With an appreciation of the Western Cape‘s agrarian history and politics and how they shape present-day farm labour conditions, I have critically analysed the discourses and practices of farm worker "development" and SDP in the light of broader structural realities, everyday sporting lives and the "development" experiences of farm workers. The central organising question of this thesis is: how do "development" problems and the solutions sought for in SDP discourses and programmes correspond to the social, economic and political realities of their subjects? Drawing on my ethnographic fieldwork conducted at farmlands in and around Rawsonville, a small rural town, from April 2012 to May 2013, I illustrate different and seemingly disconnected frames and positions from which theories of SDP and farm workers‘ experiences of sport and "development" were observed. The analysis is organised around three contrasting frames of observation, namely: 1) historical and contemporary discourses and politics of farm worker "development" and SDP programmes and practices, 2) structural arrangements of competitive and physical infrastructure for official sport, and 3) everyday (official and unofficial) sporting practices and experiences of the rural working class people. With a particular attention to continuities and contradictions in historical and contemporary farm worker "development" discourses and selected SDP case studies, I demonstrate that while SDP agendas directed at farm workers may serve divergent and at times conflicting interests, farm workers' own agency, initiative and aspirations do not feature in SDP programmes and broader "development" discourses. The contrasts and counter-narratives presented in discussing these case studies and stories complicate and contest simplified notions commonly projected in global SDP discourses and locally specific "development" agendas. Beyond the confines of sporadic and temporary SDP projects, there was a vibrant and active world of formal and informal sport among the farm workers of Rawsonville. By focusing on the everyday sporting lives of athletes, coaches, managers, organisers and soccer clubs, I paint a picture that reveals the diversity and inconsistency of experiences and meanings of farm worker as an identity, a class position and an occupation. Interrogating how farm workers were embedded within the broader rural sport structures, I describe the complex set of factors that shaped their experiences of, access to, and participation in, sport. I argue that while sport was passionately pursued irrespective of direct or corollary "development" benefits, it was unofficial and under-the-radar sport networks and practices that served as vital spaces of autonomy, initiative and self-realization, even for those who may not otherwise have had such opportunities. And while the politically disengaged and enthusiastically embraced qualities of sport may continue to be among the reasons for its traction in "development" and peace agendas, these very same qualities allow sport to be usefully employed as an ethnographic method. Among the formative turns I took in conducting and presenting my research observations was to implicate myself and invite the reader into the confusing and complex process of learning and knowledge production. By way of conclusion, I argue for refocusing the gaze of research on studying sport as part of the broader scope of subaltern sociality.
Implications of public sector reform for public sector unions in Zambia : a case study of the Civil Servants and Allied Workers Union of Zambia in Lusaka District
(University of the Western Cape, 2016) Madimutsa, Clever; Pretorius, Leon G.
The thesis examines the implications of Public Sector Reform (PSR) for public sector unions in Zambia. Using the case study strategy, the research investigates the Civil Servants and Allied Workers Union of Zambia (CSAWUZ) in Lusaka district under the rubric of PSR. The research is qualitative in nature. Two types of data were collected, namely, secondary and primary data. A sample of 25 key informants was engaged in the research. These informants include five managers of public institutions and 20 leaders of the CSAWUZ. The methods of multistage, purposive and snowball sampling were used to select the informants. Secondary data were collected by reading documents on PSR and trade unions while primary data were collected by conducting semi-structured interviews with the sampled informants. The data are analysed using the method of content analysis. The findings reveal that Zambia is characterised by a young, unskilled and impoverished population. The government faces challenges to deliver services especially in rural areas and to the female population. There are three major categories of government institutions in Zambia. These are central government, local government and parastatals. There are also different types of trade unions organising employees in these institutions. They include sectoral unions, enterprise unions, occupational unions, industrial unions, and federations of trade unions. However, the operations of these unions have been challenged by the reform of the public sector. Two generations of PSR have been implemented in Zambia. These are New Public Management (NPM) and post-NPM reforms. On the one hand, NPM reforms emphasised the effectiveness of market forces and the weakness of government regulation. On the other hand, post-NPM reforms emphasise the interconnectedness of stakeholders in the processes of policy formulation and implementation. These stakeholders include government, business, civil society organisations, employers and trade unions. The implementation of PSR is influenced by the interplay of a number of factors. These include the recognition of problems in the public sector, the emergence of a new ideology, and the presence of actors spearheading the reform of the public sector. The findings show that PSR involves changing the role of the public sector in the process of providing goods and services. Instead of the public sector being the only provider, it is a partner. As a partner, its role is to create an environment that encourages the growth of the private sector. However, this kind of reform negatively affects trade unions in the public sector. The effects include reductions in union membership, income and power. Although public sector unions are negatively affected by PSR, they have agency and do not just wait to become victims of the reform process. They make strategies to adapt to the changing circumstances. These strategies include diversifying the membership, servicing the membership, decentralising the organisational structure of the union, coordinating union activities, and forming alliances with external organisations dealing with issues affecting workers. This implies that trade unions in the public sector have opportunities to deal with challenges facing them under the rubric of PSR.
An Integrated Spiritual Leadership Model for the South African Public Service: A Case of Selected Government Departments
(University of the Western Cape, 2013) Law, Penelope Karen P.K.; Esau, Michelle
Current leadership models have been unable to develop leaders who are capable of successfully addressing organisational challenges such as the unethical conduct, poor performance and low morale in the South African public service. Literature suggesting that spiritual leadership may improve organisational performance is emerging. The purpose of this study is to propose and present an Integrated Spiritual Leadership (ISL) model that is relevant to the South African public service and which can address burgeoning organisational challenges. In order to realise this research purpose, the study examined theoretical perspectives pertaining to spirituality, spiritual leadership and workplace spirituality. After leadership theories within the traditional and spiritual paradigms had been discussed and compared, spiritual leadership emerged as a comprehensive leadership theory. The literature on spiritual leadership also examines empirical evidence showing the way in which spiritual leadership may enhance organisational performance. The analysis of spiritual leadership models exposed a gap in the literature and highlighted the dearth of spiritual leadership research in the African and, especially, in the South African context. The development of the ISL model was based on a comparative analysis of the nine published leadership models of the following researchers and which are premised on spiritual leadership principles – Danah Zohar and Ian Marshall, Kevin Cashman, Stephen Covey, Gilbert Fairholm, The Memorial Hermann, Louis Fry, Jeffry Ferguson and John Milliman, Margaret Benefiel, and Sangeeta Parameshwar. The ISL model comprises three core levels, namely, the spiritual leadership, team and organisational levels. These levels are all interconnected and aligned. The spiritual leadership level is characterised by four key attributes, namely, higher purpose and vision, core positive values, application of personal intelligences and changing from the inside out. In terms of the public service the three levels of the ISL model may influence individual, team and organisational outcomes by promoting the effective and efficient expenditure of public funds, improved service delivery and increased employee well-being. However, in view of the fact that the model was based on Western international models it was necessary to establish the relevance of the ISL model within the South African public service context. This study was situated in the national and provincial government departments in the South African public service. A qualitative, phenomenological study was conducted to ascertain the deep, richly textured perceptions regarding the relevance of the ISL model as regards the public service. In-depth interviews with 22 respondents, including public service managers, service providers and students of spiritual leadership training, were conducted in order to garner their opinions about the ISL model. In addition, a quantitative survey was conducted to determine the extent to which the respondents perceived the ISL model’s constructs to be relevant for public service managers. The survey was completed by 233 public service managers from public service departments in both provincial and national government departments. Both the survey and the interview respondents perceive the ISL model to be relevant for public service managers. However, the findings are relevant for Gauteng public service departments only as the data collected were not sufficiently representative of all the provinces in South Africa. Many of the respondents were of the opinion that managers who embrace and model spiritual leadership principles such as higher purpose and core positive values are well equipped to overcome organisational challenges. However, although there was general agreement as regards the constructs of the ISL model, there was no conclusive agreement on the ranking of the personal intelligences.1 A lack of technical competence influenced the survey participants to prioritise IQ above the other intelligences, whilst the interview 1 For the purposes of this study, mental intelligence (IQ), emotional intelligence (EQ), spiritual intelligence (SQ) and physical intelligence (PQ) are deemed to be personal intelligences. respondents rated spiritual intelligence (SQ) as the highest form of intelligence. The study recommends that a comprehensive approach is required if the ISL model is to be implemented successfully and in a sustainable way. It emerged that if senior managers were to endorse and promote the ISL model, this may result in the model being implemented more successfully. A specialised unit should continuously promote and monitor the realisation of the relevant department’s purpose and values. Relevant stakeholders should be involved to ensure widespread acceptance and endorsement, while the organisational strategy, systems, structure and culture should be aligned to the purpose, values and principles of the ISL model in order to promote organisational performance and employee well-being. In addition, service providers who develop the ISL model into a training and development intervention should foster deep learning so that public service leaders and managers fully embrace and internalise the principles of the ISL model. Finally, this study recommended future research. A follow-up study should be conducted to determine the relevance of this ISL model as regards all the provinces in the country as well as local government. In addition, a longitudinal study is recommended to determine the impact of the implementation of the ISL model on the South African public service.
The political economy of aid-oriented foreign policy change: elite perspectives on mercantilism in Korea and Ghana
(University of the Western Cape, 2014) Suweon, Kim; Pretorius, Joelien
The thesis examines how elite perspectives on foreign aid affect the subsequent path of aid dependence. The focus is on aid-seeking foreign policy change. Two foreign policy change cases are examined for the study, which took place in Korea under Park Chung-hee and in Ghana under Rawlings through a lens of comparative historical analysis. The thesis aims to make two original contributions to knowledge. First, it explains recipient foreign policy using two different forms of mercantilism, and second, it reveals the dependent path created by the mercantilist oriented elite. Mercantilism in the thesis is used as dual-frameworked concept. First, it is a lens to see state behaviour. Despite the fact that mercantilism has been mainly used to explain a donor‘s behaviour, it can elucidate that of an aid-recipient state when the aid-seeking country is in dire need of the foreign aid for the survival of the state. The thesis applies mercantilism to explain aid-receiving countries‘behaviour. Second, more importantly, mercantilism also explains elite perspectives. The elite in aid receiving countries search for foreign aid not only for the wealth and power of their state, but also for the prosperity and survival of themselves. Mercantilism is used as an ostensible principle in practicing the private search for advantages of the elite. The thesis uses the dual-mercantilism idea to examine aid-seeking foreign policy in Korea and Ghana. In Korea, the elite saw the key to their survival in industrialising the nation, and their search for foreign aid took place based on that raison d’être. In Ghana, on the other hand, the elite found the way to their survival and prosperity in acquiring more foreign aid and the aid per se became the ultimate goal. The thesis finds industrial mercantilism a useful framework to understand the elite perspective in Korea

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