Design of a Capability Maturity Framework for Resilient Infrastructure Management in Category B4 Municipalities in South Africa

Abstract

This doctoral study sought to examine how a self-improvement evaluation tool can be used to help South African category B4 municipalities acquire resilient infrastructure management capabilities. Category B4 municipalities are defined as mostly the rural municipalities with only one or two minor towns, characterised mainly with the failure to procure and manage sustainable infrastructure services. The study assumed that previous local government initiatives that were used to deploy professional support engineers to improve infrastructure management and service provision in category B4 municipalities, omitted the aspect of resilience as part of the support model. The study conceived the use of a capability maturity framework (CMF) as a self-improvement evaluation tool to help standardize organisational performance improvement towards resilience. This framework incorporates the mapping of project management knowledge areas into capability maturity improvement areas. It is postulated that these capability maturity improvement areas are critical in modelling the continuous capability improvement pathway required in managing infrastructure in category B4 municipalities towards resilience. As the infrastructure management capabilities progressively mature, so do the capability improvement areas collectively contribute towards resilience. This assumption is premised on the understanding that the more an organisation’s infrastructure capabilities improve and mature, the more likely the management of infrastructure is to become resilient in improving service provision. The study situated the concept of resilience as a context within which the design parameters of the capability maturity framework should be considered to model the infrastructure management for application in under-capacitated municipalities. This study identified 14 capability areas that provided a conceptual framework for assessing resilience in local government infrastructure management. These capability areas included budget alignment and infrastructure delivery cycles, development of construction procurement documentation, cost management, contract management. Since the CMF is centred on an ongoing improvement pathway of critical capacities on many levels with corresponding key process areas ii at each level, this thesis should be seen as contributing to the improved understanding of how local government actions, processes, and measures can inform unique progression characteristics that are crucial in modelling a continuous improvement pathway towards resilient infrastructure management by Category B4 municipalities. The approach to investigating this problem was to use a case-study research methodology. The qualitative investigation was conducted using semi and unstructured interviews, triangulated with a document review. Thematic data analysis was used and the OPM3 knowledge analysis (KA), assessment analysis (AA), and critical improvement areas (CIA) were well-organized as analysis components. The findings of the thesis reveal how organisations ought to deal with organisational capability realities based on the capability improvement tools and models rooted in and linked to the dynamic organisational circumstances. The use of this framework is therefore recommended to support the building of capability maturity through the layered development of infrastructure management knowledge across the category B4 municipalities. In South Africa, the National and Provincial governments establish local government outcomes, with the objective of strengthening the strategic focus on government’s service provision priorities. These service provision priorities allow municipalities and other sector departments to effectively carry out their constitutional and legislative obligations while also holding them accountable for their performance. Therefore, the implication of using the infrastructure management capability framework is that, category B4 municipalities will have a better understanding of and resilience in their infrastructure management responsibilities and advancement in terms of providing basic services.