Thesis (MEng)--Stellenbosch University, 2014. / ENGLISH ABSTRACT: The enactment of the new Constitution of South Africa, 1996, gave prominence to the trans-formation of local government in South Africa. Rooted in the Constitution, the Municipal Systems Act, 2000, and the Municipal Structures Act, 1998, guide municipalities towards establishing structured performance management practices. As part of a comprehensive legislative framework for local government, these acts moreover state the functions of mu-nicipalities that include the delivery of basic municipal services. These services include amongst other, water provision, refuse removal, sanitation, electricity provision, municipal roads as well as stormwater management. Despite a range of statutory provisions, policy instruments and capacity improvement initiatives with a view to provide a democratic, participative, responsive, effective and efficient local sphere of government, South African municipalities, in general, continue to fail in eradicating service delivery backlogs. This is, at least partially, the result of the policies and practices of the apartheid era. Apart from eradicating backlogs, non-sustaining service delivery to communities has become a noticeable phenomenon. As a result, in 2012 the highest number of service delivery protests over the past decade occurred. The underperformance of municipalities can be linked to insufficient organisational capacity. This multidimensional concept consists of individual, institutional and environmental capacity. This study views capacity building as a key enabler for municipal performance improvement. Relating to this, capacity assessment is the first and foremost component of capacity building. Hence, it can be assumed that a correlation exists between municipalities’ service delivery performance and the degree to which municipalities are aware of its capacity to fulfil its service delivery mandate. Municipalities are mandated by the Municipal Systems Act, 2000 to perform internal capacity assessments when a new or reviewed Integrated Development Plan (IDP) is considered, and also when outsourcing of municipal services is considered. Besides this the Municipal Demarcation Board (MDB) is mandated by the Municipal Structures Act, 1998, to perform annual municipal capacity assessments. Though criticised for its untimeliness, narrow approach and inconsistency, the MDB municipal capacity assessment generates valuable insight. This is widely used by provincial governments, municipalities and private parties for policy formulation, strategic decision-making and capacity building initiatives. This exemplifies that if accurate municipal capacity data can frequently be attained, the effects on service delivery improvement initiatives can be profound. This research study aims to make a contribution in formulating solutions for needs that currently exist in this regard in South Africa. The focus of this study is the development of both a municipal capacity assessment frame-work and a subjective municipal capacity self-assessment model (SMCSAM), a software tool built in Microsoft’s Visual Basic for Applications (VBA) for engineering services at municipalities. The framework for municipal capacity assessment comprises of fifteen elements of capacity and eighteen service delivery phases. A third dimension of the framework exists in recognition of the six basic municipal services. This framework accordingly implements the matrix-method. SMCSAM implements the consolidated framework based on statements to be rated by the municipality according to their reality. SMCSAM allows the municipality to allocate weights to each of the fifteen elements of overall organisational capacity through the use of a Fuzzy Logic Hierarchical Analytical Process. Consequently, ratings of the statements are weighed and illustrated through two interactive user-interfaces which allow the municipality to instantly identify capacity strengths and weaknesses. To achieve this, assessment results are illustrated using colour-coding and related spider-diagrams. SMCSAM was implemented at Drakenstein Municipality and demonstrated to academics as well as experts in the public and private sector for validation purposes. Its results proved to be accurate and applicably related to the performance of this municipality. Through its implementation and validation, SMCSAM proved to be a valuable, understandable and practical solution to a noteworthy problem at municipalities in South Africa. In doing so, SMCSAM significantly contribute to research in the field of engineering management. / AFRIKAANSE OPSOMMING: Die aanvaarding van die nuwe Grondwet van Suid-Afrika, 1996 het grootliks aanleiding gegee tot die transformasie van plaaslike regering in Suid-Afrika. Munisipaliteite word deur die Wet op Munisipale Stelsels, 2000, en die Wet op Munisipale Strukture, 1998, begelei in die implementering van gestruktureerde prestasiebestuur praktyke. As deel van 'n omvattende wetgewende raamwerk, definieer hierdie twee wette ook die funksies van munisipaliteite, wat die lewering van basiese dienste insluit. Basiese dienste sluit onder andere watervoorsiening, vullisverwydering, sanitasie, elektrisiteitsvoorsiening, munisipale paaie en stormwaterbestuur in. Ten spyte van dié statutêre voorsienings, gepaardgaande beleidmaatreëls en inisiatiewe vir kapasiteitsverbetering met die doel om ʼn demokratiese, deelnemende, responsiewe, effektiewe en doeltreffende plaaslike sfeer van regering daar te stel, misluk baie munisipaliteite in Suid-Afrika in hul pogings om jarelange diensleweringsagterstande uit te wis. Hierdie agterstande is gedeeltelike die gevolg van die beleide en praktyke van die apartheidsera. Afgesien van die vertraagde uitwissing van agterstande, word munisipaliteite se onvermoë om effektiewe dienslewering aan gemeenskappe vol te hou, ook geïdentifiseer as ʼn probleemarea. As ʼn gevolg hiervan, het die jaarlikse hoeveelheid diensleweringproteste in 2012 ʼn nuwe hoogtepunt bereik. Die onvermoë van munisipaliteite om hul diensleweringsmandaat uit te voer kan grootliks toegeskryf word aan onvoldoende organisatoriese kapasiteit. Dié multidimensionele konsep bestaan uit individuele-, institusionele- en omgewingskapasiteit. Hierdie studie beskou kapasiteitsontwikkeling as ʼn fundamentele dryfkrag vir beter munisipale dienslewering, terwyl die assessering van munisipale kapasiteit die eerste en belangrikste fase van kapasiteitsontwikkeling is. Dit kan dus aanvaar word dat daar ʼn korrelasie bestaan tussen ʼn munisipaliteit se diensleweringsprestasie en die mate waartoe die munisipaliteit bewus is van sy kapasiteit om sy diensleweringsmandate na te kom. Munisipaliteite word deur die Wet op Munisipale Stelsels, 2000, verplig om ʼn interne kapasiteits-assessering te doen wanneer ʼn nuwe of hersiende Geïntegreerde Ontwikkelingsplan (GOP) oorweeg word of wanneer daar besluit moet word oor die uitkontraktering van munisipale dienslewering. Terselfdertyd word die Munisipale Afbakeningsraad (MAR) deur die Wet op Munisipale Strukture, 1998, verplig om jaarlikse munisipale kapasiteits-assesserings uit te voer. Alhoewel die MAR se munisipale kapasiteits-assessering gekritiseer word vir die ontydigheid, inkonsekwentheid en beperkte aanslag daarvan, word die resultate van hierdie assessering aangewend deur provinsiale regerings, munisipaliteite asook ander rolspelers in die publieke- en privaatsektor vir die doel om beleid te formuleer, strategiese besluite te neem en kapasiteit te bou. Dit dui daarop dat wanneer akkurate data van munisipale kapasiteit gereeld versamel word, dit grootliks dienslewering verbeteringsinisiatiewe kan aanhelp. Die studie ondersoek ʼn innoverende metode vir die selfassessering van munisipale kapasiteit. Die fokus van die studie is die ontwikkeling van ʼn gekonsolideerde munisipale kapasiteits-assesseringsraamwerk en ʼn geassosieerde subjektiewe munisipale kapasiteit selfassesseringsmodel (SMCSAM), ʼn sagtewarepakket wat geprogrammeer is in Microsoft se Visual Basic for Applications (VBA). Die raamwerk bestaan uit vyftien elemente van kapasiteit en agtien diensleweringsfases. ʼn Derde dimensie van die raamwerk bestaan in die erkenning van die voorgenoemde ses basiese dienste. Hierdie raamwerk implementeer die matriksmetode dienooreenkomstig. SMCSAM implementeer die gekonsolideerde raamwerk gebaseer op stellings wat gegradeer moet word deur munisipaliteite binne die konteks van hul eie realiteit. SMCSAM laat munisipaliteite toe om gewigte te koppel aan elkeen van die vyftien elemente van kapasiteit deur middel van ʼn Fuzzy Logic Hiërargiese Ontledingsproses. Dit gebruik twee interaktiewe gebruikerskoppelvlakke wat munisipaliteite toelaat om vinnig die sterk- en swakpunte van hul organisatoriese kapasiteit te identifiseer. Hierdie resultate word aangedui deur middel van grafieke en kleur-kodering. SMCSAM is getoets by die Drakenstein Munisipaliteit en gedemonstreer aan akademici en deskundiges in die privaat en publieke sektor. Die resultate van die assessering dui op ʼn realistiese verwantskap tussen die munisipaliteit se organisatoriese kapasiteit en diensleweringsprestasie. Deur die implementering en validasie van SMCSAM, is dit bewys dat dié model ʼn waardevolle, verstaanbare en ʼn praktiese oplossing bied vir ʼn werklike probleem by munisipaliteite in Suid-Afrika. Sodoende, maak die model ʼn betekenisvolle bydra tot die navorsingsveld van ingenieursbestuur.

Submitted by JOSIANE SANTOS DE OLIVEIRA (josianeso) on 2017-12-06T13:34:53Z No. of bitstreams: 1 Fernando Fischer Gehres_.pdf: 3149638 bytes, checksum: 5cfbf940f991616da6304025e100c1c4 (MD5) / Made available in DSpace on 2017-12-06T13:34:54Z (GMT). No. of bitstreams: 1 Fernando Fischer Gehres_.pdf: 3149638 bytes, checksum: 5cfbf940f991616da6304025e100c1c4 (MD5) Previous issue date: 2017-08-31 / Nenhuma / Com o quadro recessivo apresentado pela economia brasileira nos últimos dois anos, houve uma exacerbação da concorrência no setor industrial. Assim, muitas empresas buscaram sua sobrevivência através de ganhos em produtividade e eficiência. Uma alternativa a ser considerada nesta situação é a implantação dos Sistemas de Produção Enxuta (SPE), derivados do Sistema Toyota de Produção. No entanto, a literatura reporta baixas taxas de sucesso na implantação dos SPE (entre 10 e 20%). Esta pesquisa investiga os motivos para esta baixa taxa de sucesso através de estudo de caso em duas empresas industriais do setor metal-mecânico. Para determinar as causas-raízes da baixa taxa de sucesso, utilizou-se a ARA – Árvore da Realidade Atual – ferramenta lógica pertencente ao Processo de Pensamento da Teoria das Restrições. A partir das causas-raízes foi proposto um Modelo de Diagnóstico para determinar a condição da empresa que pretende iniciar a implantação do SPE, indicando suas deficiências e aumentando suas chances de sucesso, caso ações corretivas sejam aplicadas. / Brazilian economy recession in the last two years led to a growing competition in the industry. Companies based their survival on productivity and efficiency enhancement. One possible alternative is Lean Manufacturing implementation, based on Toyota Production System. Nevertheless, literature reports low success rates on Lean Manufacturing implementation (between 10 and 20%). This research investigates the reasons for such a low success rate thought a case study on two metal industries. In order to identify the failure root causes, Current Reality Trees, derived from Theory of Constraints Thinking Process, were used. Based on the root causes, a Self-assessment Model was proposed to grade company situation before Lean Manufacturing implementation process starts. This way, deficiencies can be timely identified and actions taken, incresing success opportunity.

[pt] O objetivo desta dissertação é desenvolver um modelo conceitual de autoavaliação para que organizações que buscam a excelência em gestão da inovação possam verificar em que nível de maturidade se encontram em relação às cláusulas e aos itens da Norma ABNT NBR ISO 56002:2020. Busca-se demonstrar a aplicabilidade do modelo mediante o desenvolvimento de um estudo empírico em uma das empresas do setor elétrico – a Light SESA. A pesquisa pode ser considerada aplicada, metodológica e descritiva. A metodologia compreende: (i) revisão da literatura e análise documental sobre os temas centrais da pesquisa; (ii) definição da estrutura analítica em rede, conforme o método Analytic Network Process (ANP) e segundo a estrutura da referida Norma; (iii) emprego do método ANP para atribuição de pesos aos 28 itens da Norma, mediante reuniões consensuais com especialistas com formação e experiência em gestão da inovação; (iv) elaboração e aplicação do instrumento de autoavaliação junto ao gestor de inovação da empresa Light SESA e a membros de sua equipe para avaliar o nível de maturidade da empresa em relação às cláusulas e aos itens da Norma, com uso da lógica fuzzy; (vi) emprego do método Importance-Performance Analysis (IPA) para identificar os itens que devem ser priorizados, visando à melhoria do sistema de gestão da inovação da empresa. Como resultado principal, destaca-se uma sistemática inovadora de autoavaliação para organizações que buscam a excelência em gestão da inovação, na perspectiva de apoiar processos decisórios internos referentes à melhoria contínua de seus sistemas de gestão da inovação. O estudo de caso na Light SESA demonstrou ser plausível determinar o nível de maturidade desta empresa em relação às cláusulas e itens da Norma ABNT NBR ISO 56002:2020 e permitiu identificar oportunidades de melhoria de seu atual sistema de gestão da inovação. / [en] The objective of the dissertation is to develop a conceptual model of self-assessment for organizations that search for excellence in innovation management to verify at which level of maturity they are concerning the ABNT NBR ISO 56002:2020 standard clauses and items. It seeks to demonstrate the model s applicability by developing an empirical study on one of the companies from the electric power sector – Light SESA. The research can be considered applied, methodological and descriptive. The methodology comprises: (i) literature review and documentary analysis on the central research themes; (ii) definition of the analytical structure according to the Analytic Network Process (ANP) method and the structure of the ABNT NBR ISO 56002:2020 standard; (iv) application of the ANP method for assigning weights to the 28 normative elements with the participation of experts in the field of innovation management; (v) elaboration, pre-test, and application of the self-assessment tool in Light SESA, asking the innovation manager and collaborators to evaluate the level of maturity of the company in relation in relation to the Standard clauses and items, and using the fuzzy logic; (vi) employment of the Importance-Performance Analysis (IPA) method to identify the requirements that should be prioritized aiming to improve the company s innovation management system. As the main result of this dissertation, the assessment model of innovation management systems of companies based on ABNT NBR ISO 56002:2020 Standard can be highlighted from the perspective of supporting internal decision-making processes related to the continuous improvement of their innovation management systems. The case study in Light SESA could demonstrate the self-assessment model s applicability and managerial contributions, helping the company to identify improvement opportunities of its current innovation management system.

[pt] vO objetivo da dissertação é propor um modelo de autoavaliação para empresas farmacêuticas no Brasil, que possa ser utilizado para verificar sua capacidade em relação ao cumprimento das diretrizes e requisitos das Boas Práticas de Fabricação (BPF) de Medicamentos no Brasil, segundo a RDC número 301/2019 da Anvisa. Busca-se demonstrar a aplicabilidade do modelo mediante o desenvolvimento de um estudo empírico em uma empresa farmacêutica selecionada para este propósito. A pesquisa pode ser considerada aplicada, descritiva e metodológica. Quanto aos meios de investigação, a metodologia compreende: (i) pesquisa bibliográfica e análise documental sobre os temas centrais da pesquisa; (ii) construção da estrutura analítica hierárquica em alinhamento aos requisitos e itens da RDC número 301/2019 da Anvisa; (iii) aplicação do método Analytic Hierarchy Process (AHP) para definição dos pesos dos requisitos e itens da RDC número 301/2019; (iv) definição e aplicação do instrumento de autoavaliação junto ao Gerente Industrial da empresa selecionada para o estudo empírico e apuração do nível da capacidade da empresa quanto ao cumprimento de cada requisito/item da RDC número 301/2019; e (v) emprego do método Importance-Performance Analysis (IPA) para identificação dos requisitos/itens que devam ser priorizados em um plano de ação, visando a obtenção do certificado de BPF de medicamentos pela Anvisa. Destaca-se como resultado principal desta dissertação uma sistemática inovadora de autoavaliação de empresas farmacêuticas, na perspectiva de apoiar processos decisórios referentes à certificação dessas empresas segundo a RDC número 301/2019 da Anvisa. / [en] The dissertation aims to propose a self-assessment model for pharmaceutical firms that can verify their capacity to meet the requirements established in the Anvisa RDC n. 301/2019, concerned with the Good Manufacturing Practices for Pharmaceutical Products. It seeks to demonstrate the model s applicability by developing an empirical study in a pharmaceutical company selected for this purpose. The methodology comprises: (i) literature review and documentary analysis on the central research themes; (ii) definition of the analytical structure based on the Analytic Hierarchy Process (AHP) method, aligned with Good Manufacturing Practices (GMP) for Pharmaceutical Products; (iii) application of the AHP method for assigning weights to the requirements of Anvisa RDC n. 301/2019; (iv) application of the self-assessment instrument addressed to the Industrial Manager of the mentioned pharmaceutical firm and determination of its capacity level to meet each requirement/item of the RDC; and (v) employment of the Importance-Performance Analysis (IPA) method to identify requirements that should be prioritized aiming future certification by Anvisa. An innovative self-assessment model based on Good Manufacturing Practices for Pharmaceutical Products stands out as the main result of this dissertation. It can support decision-making processes related to the certification of pharmaceutical firms by Anvisa.