Orientador: Prof. Dr. Jeroen Johannes Klink / Dissertação (mestrado) - Universidade Federal do ABC, Programa de Pós-Graduação em Planejamento e Gestão do Território, São Bernardo do Campo, 2018. / A Região Metropolitana de São Paulo é o principal polo de riqueza nacional. Por ela passam os grandes fluxos de capital, de pessoas e de informações do Brasil, em uma rede complexa de bens e serviços. Face às peculiaridades e à escala dos problemas enfrentados pela RMSP, coloca-se a questão da governança em uma região metropolitana tão grande e tão complexa. Em efeito, uma vez que a RMSP não é um ente da federação e, portanto, não possui um governo único e dedicado exclusivamente para sua gestão, surge a necessidade de articulação entre os atores governamentais que têm atribuições e competências sobre seu território. As questões relacionadas aos modelos e formatos institucionais das regiões metropolitanas vêm sendo objeto de debate há décadas, tanto no mundo acadêmico quanto entre os profissionais e gestores que lidam diariamente com os desafios impostos pela gestão destes territórios. Por isso alguns conceitos e ferramentas de análise são fundamentais para a compreensão do fenômeno metropolitano. Ao mesmo tempo, a evolução histórico-legal da governança metropolitana no Brasil e em São Paulo nas últimas décadas mostra uma alternância entre períodos de maior e menor centralização e contribui para o entendimento do cenário atual. Com a aprovação do Estatuto da Metrópole (EM), no início de 2015, a imposição legal ao governo do estado e aos municípios da elaboração conjunta de um Plano de Desenvolvimento Urbano Integrado (PDUI), com a participação da sociedade civil, abrese uma nova fase para a governança metropolitana brasileira e da RMSP. Este processo ainda em curso explicita alguns conflitos e abre novas possibilidades de articulação entre os entes federativos envolvidos. / The Metropolitan Region of São Paulo (MRSP) is the main centre of national wealth in Brazil. Great flows of capital, people and information, pass through it in a complex network of goods and services. In view of the singularities and scale of the problems faced by the MRSP, the question of governance in such a large and complex metropolitan region is raised. In fact, as the MRSP is not an entity of the federation and therefore does not have a government structure exclusively dedicated to its management, there is a need of articulation among the governmental actors that have attributions and responsibilities over the same territory. Issues related to the institutional models and formats of the metropolitan regions have been the subject of debate for decades, both in the academic world and among professionals and managers who deal daily with the challenges imposed by the management of these territories. For this reason, some concepts and tools of analysis are fundamental for the understanding of the metropolitan phenomenon. At the same time, the historical-legal evolution of metropolitan governance in Brazil and São Paulo in the last decades shows an alternation between periods of greater and lesser centralization and contributes to better understand the current scenario. A new phase of metropolitan governance has been opened up for Brazil and the MRSP with the approval of the Metropolis Statute, in early 2015, and the legal obligation of the joint elaboration of an Integrated Urban Development Plan, with the participation of civil society. This process, which is still underway, has made explicit some conflicts and has created new possibilities for articulation for the federative entities involved.

South Africa has a social housing delivery problem, where, despite all mechanisms, efforts and resources (including policies, enabling legislation and social housing production inputs such as planning regimes, guidelines and strategies, funding, land, buildings and human resources put in place by the government), the pace of social housing delivery is not at a point where it is measurably satisfactory across all spheres of government. There exists between the three spheres of government an intergovernmental relations framework for implementing social housing policy. The performance of government shows a lack of institutionalized arrangements, coordination, and alignment in the day to-day operations of the three spheres of government in implementing social housing policy. It is for this reason that this study assessed the current intergovernmental relations operational system in the delivery of social housing units in Gauteng Province. A mixed-methods research approach was implemented for this study based in methodological pragmatism, phenomenology, and positivism. The researcher conducted interviews with senior managers and administered research questionnaires with operational staff within the National, Provincial and Local spheres of government which included City of Tshwane, City of Johannesburg and Ekurhuleni Metropolitan municipalities in Human Settlements Departments, state agencies involved in the delivery of social housing units such as the Social Housing Regulatory Authority and municipal entities such as the Housing Company Tshwane, the Johannesburg Social Housing Company and the Ekurhuleni Social Housing Company. Private and non-governmental social housing institutions, such as the Yeast City Housing and Mannapendlo Social Housing Organisation were also included. The data were complemented by documentary content analysis, including review of annual reports, strategic human settlements plans, policies and legislation pertaining to the provision of housing, human settlements, and social housing. This study assessed the functioning of the three spheres of government in relation to the implementation of social housing policy in Gauteng Province. The three spheres of government are regarded as equally important institutions for the development of sustainable human settlements, and a sound relation between the three spheres of government must be maintained in order to achieve successful development and management of social housing. The research found evidence of poor coordination and alignment, and no integration of social housing related activities and functions between the three spheres of government. There are major risks, such as financial risk, financial planning, and project implementation risks experienced at local government level. The study identified challenges faced by the three spheres of government and state agencies in the implementation of social housing policy in Gauteng Province. The challenges included slow release of land for social housing development, uncoordinated and unplanned social housing delivery in the province. In addition, the study identified other input factors that impact negatively on the supply of social housing units which cut across all spheres of government such as political mandates, legislation, policies, strategies, plans, targets, priorities, information technology and administrative and financial constraints. The study presented and recommended social housing delivery model for Gauteng Province. The proposed model has the probability of providing an understanding of the relations between government departments, state agencies, social housing institutions, intergovernmental relations structures at national, provincial and local government level, non-governmental organizations, and community based organizations, so as to ensure there is vertical and horizontal alignment to improve and fast track the delivery of social housing in Gauteng Province. / Public Administration and Management / D. Phil (Public Administration)

The advent of a political democracy in South Africa in 1994 generated hope for a better life for all South Africans especially those marginalised during the apartheid era. The newly formed democratic government was confronted with the mammoth task of expounding and decreeing policies and processes that would warrant equality and equity in the provision of basic services to its citizens. Local government being the third sphere of government and which is closest to the people was entrusted with the responsibility of rendering basic services to its people as well as to address the backlogs that have accumulated during the apartheid era as depicted in the 1996 Constitution. Despite the efforts made by government to meet the requirements of the people in providing them with adequate basic services such as clean water, electricity, roads housing and refuse removal, these services were either not provided at all or it was done at a snail‟s pace. This led to widespread service delivery protests. In light of the above, this empirical study investigates the causes of the service delivery protests in City of Johannesburg (CoJ) from 2009 until 2014. Numerous studies have been pursued to examine the reasons and causes for service delivery protests and the conclusions derived is the slow pace of providing electricity, water and sanitation to the local communities. It therefore can be deduced that no democracy can subsist and prosper if citizens are still living in deprivation and in a state of discrimination and unemployment without them having visions for a better life. The manifestation of service delivery protests is thus a risk to South Africa‟s young democracy and its sustainability, which cannot be ignored. The findings of this study clearly revealed that communities in the CoJ are discontented and disgruntled because of, amongst other things, the lack of delivery of basic services, the deployment of cadres to municipal management positions, the abuse of the tendering system, nepotism and favouritism, which have negatively affected service delivery. / Public Administration and Management / M. Admin. (Public Administration)

Conceptually, South Africa is “one sovereign democratic state”, with a three-sphere governmental system operating co-operatively. Each sphere of government has “original” or constitutionally-allocated powers and functions, as well as legislative and executive powers. Thus, the governmental system is a hybrid or one sui generis, not benefiting from appropriate precedents. The status and autonomy given local government makes it somewhat unique in the world. Application of the principle of subsidiarity, and the mandate for local government to be developmental has resulted in the roles and responsibilities of municipalities being substantially increased, notwithstanding that most suffer from a lack of resources and capacity. Local authorities moved from the establishment of the first one in 1682 as providers of basic municipal services on the basis of race and affordability to democratically-elected ‘wall-to-wall’ municipalities in 2000. With 257 municipalities serving a population of 55.6 million, South African local authorities are comparatively large, spatially and demographically. Given the constitutional-statutory framework and the resultant complex operating environment, it is imperative that all municipalities are able to represent their interests in an intelligent, forceful, and unified manner on decision-making institutions to ensure a close fit between policies/programmes and peoples’ needs. Hence, effective municipal representation by knowledgeable, ethical and committed persons is imperative. The study provides a history of representation and local authority ‘development’ and underdevelopment in South Africa; a theoretical basis for representation; a review of formalism and government’s approach to development; co-operative governance and intergovernmental relations as a mechanism to facilitate municipal representation; an analysis local government powers, functions, status, autonomy, objects, rights and duties of municipalities; local participatory and representative democracy; and the establishment of municipalities. The constitutional and statutory provisions provide the foundation and framework to facilitate municipal representation. The study continues by analysing other mechanisms that enable municipal representation; a comparative review of local government and co-operative governance in certain select countries. It goes on to review the formal framework for organised local government in South Africa, including an overview of the South African Local Government Association (SALGA). Finally, findings and recommendations are made toward a model for municipal representation in South Africa. / Public, Constitutional and International Law / LL. D.

1999年地方制度法施行以來，地方極力爭取自主權，中央與地方自治團體間衍生多次衝突，爭議之層面涵括地方財政權、立法權及人事權等地方自治核心領域。針對中央地方衝突，司法院大法官作出多號解釋，惟並未定紛止爭，突顯出建立中央地方衝突解決機制之必要性。 本論文選擇五個衝突個案，分別是財政衝突的統籌分配稅款及地方積欠健保政府補助款；立法衝突之行動電話基地台自治條例牴觸案及台北市里長延選案；人事權衝突之縣市警察局長任免案。先以府際關係理論進行鉅觀分析，分析其府際關係網絡圖，突顯其網絡利害關係人，如何進行聯合或對抗。次以賽局理分論析中央地方之賽局策略選擇過程，進而賽局及報酬模擬分析。 期望透過各類型中央地方府際衝突個案研究，提出解決下列問題。一、釐清中央地方府際衝突之影響因素？二、究竟何為中央地方權限爭議解決機制？三、台灣府際衝突之關係網絡圖像為何？四、府際衝突賽局中之博奕過程模式為何？ 本研究提出四項結論。一、法律與制度變遷與府際衝突交互運作影響；二、政黨對立為府際係衝突最關鍵影響因素；三、建立多元之協調解決機制，為解決府際衝突之有效措施。四、提出全觀型府際賽局理論，以詮釋我國府際關係衝突現象。 本研究並提出五項建議，有助於未來我國府際關係正向發展，一、釐清府際衝突深層網絡關係結構，二、擴大跨域合作府際關係，三、追求中央與地方府際之最適效益，四、邁向多層次之地方治理，五、體認「地方自治為憲法制度性保障」之真諦。 / Since the Local Government Act enacted in 1999, local governments strive for local autonomy; therefore some supervisory conflicts aroused between central and local government. Those conflicts related to law autonomous enactment, finance autonomous rights and personnel rights. Despite Judicial Interpretation No.550 and 553 had review above conflicts, disputes still remained unsolved, which proclaimed the importance of constructing the reconciliatory mechanism of conflicts. This study tries to analyze five conflict cases including tax redistribution fund, premium of National Health Insurance, cellular phone base management local act, the prolonged election of Taipei li-chairman and incumbency of police bureau chief. Four conclusions are drawn as below, first, legal and system change will affect the IGR conflicts mutually. Second, parties antagonism is a crucial factor for IGR conflicts. Third, multi reconciliatory mechanism of conflicts would be efficient, a holistic game theory could interpret those conflicts. The last chapter proposes recommendations such as to clarify the IGR networks structure, broaden the cross-boundary cooperation, pursuit the optimal payoffs, work towards a multi-level governance and comprehend the core meaning of “local autonomy as a system assurance”.