PHD Research Proposal

PhD Research Proposal

Title: The Role of Government and Private Partnerships in Delivering Social Housing for Rural Communities: Challenges, Opportunities, and Sustainable Models

1. Introduction

This PhD research proposal aims to explore the dynamics of government and private sector partnerships in delivering social housing in rural areas, focusing on the Western Cape Province of South Africa and the territory of Nunavut. The study will span from 2025 to 2028 and employ a mixed-methods approach, integrating both quantitative and qualitative methodologies. The findings from this research will provide valuable insights for policymakers, housing authorities, and private sector players, guiding them towards more effective and sustainable strategies for delivering social housing in rural communities. The choice of rural Western Cape of South Africa, and the territory of Nunavut in Canada has been deliberate as the two areas share common problems like remoteness and lack of infrastructure. By addressing both challenges and opportunities, this study aims to contribute to the improvement of living conditions and overall quality of life for residents in these areas

• Research Background and Context

Social housing is a critical component in addressing housing affordability and inequality, yet research and policy have predominantly focused on urban areas. Rural communities face unique challenges, including geographic isolation, limited infrastructure, declining populations, and economic stagnation, which exacerbate housing insecurity. These challenges are often overlooked in mainstream housing discourse, leaving rural social housing under-researched and underserved.

The rural Western Cape Province of South Africa and the territory of Nunavut in Canada share several similarities regarding their housing crises. Widely acknowledged problems include overcrowding, infrastructure deficiencies, economic constraints, and a lack of attention from both government and private sector entities at the local level. Notably, rural residents often face significant disadvantages in accessing decent housing. There is frequently a lack of attention to rural housing and the infrastructure necessary to support and sustain decent living conditions. Caldwell (2018) notes that, frustrated by inadequate living conditions and lack of opportunities, rural residents often migrate to urban centers, where they find themselves marginalized in peri-urban slums. This situation is particularly dire in Africa and Asia, where the problem is out of control. This research aims to identify ways to provide decent housing and develop a housing market in rural areas to prevent mass rural-to-urban migration.

Public-private partnerships (PPPs) have emerged as a potential solution to address housing shortages by leveraging the resources, expertise, and efficiency of private entities alongside government oversight. However, the application of PPPs in rural social housing remains underexplored. This research seeks to fill this gap by examining how government and private partnerships in the Western Cape Province of South Africa and Nunavut, Canada, can be effectively utilized to deliver sustainable social housing in rural areas while addressing the unique needs of these communities.

• Research Problem

Rural communities are often excluded from social housing policies and innovations, leading to inadequate housing solutions that fail to address their specific challenges. The potential of PPPs to address rural housing needs has not been thoroughly investigated, resulting in a lack of evidence-based models for sustainable rural social housing delivery. This research aims to explore how PPPs can be adapted to rural contexts, ensuring that social housing contributes to the sustainability and vitality of rural communities.

• Research Objectives

1. To examine the unique housing challenges faced by rural communities and their implications for social housing delivery.
2. To analyze the role of government and private partnerships in addressing rural social housing needs.
3. To identify best practices and innovative models for PPPs in rural social housing.
4. To assess the impact of social housing on the sustainability and resilience of rural communities.
5. To provide policy recommendations for optimizing PPPs in rural social housing delivery.

2. Literature Review

In recent years, housing has become a critical issue, with many countries acknowledging that they are facing a housing crisis. The Western Cape of South Africa and Nunavut in Canada are not exempt from these challenges. Despite the severity of the crisis, much of the focus has been on urban areas, leaving research on rural housing issues limited and largely undocumented.

• Previous Studies

Structure of the Rural Western Cape

The structure of rural housing in the Western Cape Province is influenced by various factors, including government policies, economic conditions, and local needs. Here are some key aspects:

1. Government-Supported Housing: The Western Cape Government has initiatives to support rural housing through subsidies and development programs. These include the provision of affordable housing and the improvement of existing rural settlements¹.
2. Informal Housing: In rural areas, informal housing is common. These structures are often built without formal planning or approval and may lack basic services like water and electricity².
3. Traditional Housing: Some rural areas still have traditional housing structures, which are built using local materials and traditional construction methods. These homes often reflect the cultural heritage of the communities³.
4. Farmworker Housing: Many rural areas in the Western Cape are agricultural, and housing for farmworkers is a significant component. These houses are typically provided by farm owners and can vary in quality and amenities².
5. Rural Development Plans: The Western Cape has developed District Rural Development Plans (DRDP) to integrate land reform and rural development projects. These plans aim to improve housing and infrastructure in rural areas³.

These elements together shape the diverse housing landscape in the rural parts of the Western Cape.

The structure of rural housing in Nunavut

Housing in Nunavut is shaped by unique challenges and needs. Here are some key aspects:

1. Government-Supported Housing: The Nunavut Housing Corporation (NHC) plays a significant role in providing housing. Programs like the “Nunavut 3000” aim to build 3,000 new housing units by 2030 to address the housing crisis¹.
2. Public and Subsidized Housing: Due to high living costs and limited employment opportunities, many residents rely on public or subsidized housing. This includes social housing units provided by the NHC¹.
3. Traditional and Modern Housing: Housing in rural Nunavut includes both traditional Inuit homes and modern structures. Traditional homes are often built using local materials and methods, while modern homes are designed to withstand harsh Arctic conditions².
4. Challenges: Rural housing faces challenges such as high construction costs, limited availability of land, and extreme weather conditions. These factors contribute to a high rate of inadequate and unaffordable housing¹.
5. Community Involvement: The Blueprint for Action on Housing emphasizes the importance of community involvement and Inuit societal values in housing solutions. This approach aims to create sustainable.

PPPS in Operation

A systematic review of existing research on social housing, PPPs, and rural development to identify gaps and establish a theoretical framework. Fell and Mattsson (2021) asserted that a systematic literature review seeks to summarize prior work, extend theories, and evaluate a body of work with a critical lens.

There have been several studies examining the role and effectiveness of government and private sector partnerships in housing. Here are a few notable ones:

1. Assessment of Public-Private Partnerships (PPP) in Housing Projects in Bauchi State, Nigeria:In Abuja, Nigeria, PPPs have been utilized to address housing shortages through the development of housing estates. The government partnered with private developers to create affordable housing units. A key focus was on risk management, as inadequate risk assessment and management were identified as major challenges. This study evaluated the performance of PPP in housing, highlighting challenges such as political will, corruption, and the affordability of housing units. It suggested measures like attitudinal changes among stakeholders and the establishment of institutions to combat corruption¹.
2. Public-Private Partnerships in Low-Cost Housing in Nakuru, Kenya: In Nakuru, Kenya, a PPP was established to provide low-cost housing. This partnership involved the local government and private developers working together to create affordable housing options for low-income families. This research focused on the selection of appropriate partners and types of partnerships for low-cost housing projects. It emphasized the importance of project culture and the involvement of the informal construction sector to meet housing needs effectively².
3. Role of Government Agencies in Public-Private Partnerships: This study explored the role of government agencies in facilitating PPPs for housing. It highlighted the need for effective collaboration between government and private entities to ensure successful housing projects³.
4. “Origins, Development and Outcomes Of Public Private Partnerships In Ireland: The Case Of PPPs In Social Housing Regeneration”by Rory Hearne. This book examines the development and impact of PPPs in social housing regeneration in Ireland.

1. “Public-Private Partnership in Housing and Urban Development”by UN-Habitat. This report discusses how the PPP model can be applied to promote sustainable housing and urban development globally.

1. “Public Private Partnerships for Affordable Housing in India”by the Ministry of Housing and Urban Affairs. This document provides a comprehensive overview of various PPP models for affordable housing in India, including strategies, risks, and implementation models.

These studies provide valuable insights into the dynamics of PPPs in housing and offer recommendation.

• Research Gap

3. Research Questions.

A review of previous studies on the role of government and private partnerships in delivering social housing for rural communities has identified a significant research gap. This study aims to address this gap by focusing on the following research questions:

1. What are the specific challenges faced by government and private partnerships in delivering social housing in rural communities?
2. What opportunities can these partnerships leverage to improve the delivery of social housing?
3. How can sustainable models be developed to enhance the effectiveness of these partnerships in rural contexts?

By exploring these questions, this research seeks to provide valuable insights and practical solutions for improving social housing delivery in rural areas

4. Methodology

This research will employ a mixed-methods approach, combining qualitative and quantitative methods to provide a comprehensive understanding of the topic.

• Research Design

Our research design is a three-part design, with desk research, field research, and data analysis.

Desk research, also known as secondary research, involves collecting and analyzing existing information from various sources to gain insights into a specific topic. In this research this involves a review of case studies, policies and previous research in PPPs role in housing both in rural and peri-urban areas.

Field research is a vital component of studying the role of public-private partnerships (PPPs) in improving rural housing. It involves collecting primary data directly from the field, providing firsthand insights into the effectiveness and challenges of PPPs in specific contexts. The scope of this research, in terms of delimitation of the research covers peri-urban and rural areas in the territory of Nunavut (Canada) and the Western Cape Province of South Africa. Nunavut has three districts, Baffin, Kivalliq and Kitikmeot, therefore three districts from the Western Cape shall be chosen for simplicity and convenience.

• Data collection

The research will collect primary data using focus groups, quantitative surveys and in-depth interviews. This mixed method approach sometimes called triangulation is ideal. The qualitative methods (focus groups and in-depth interviews) offer depth and detailed understanding, quantitative methods (surveys) provide breadth and generalizability. Using both can give a well-rounded perspective mitigating bias and enhancing credibility of research results.

1. Focus groups: Is a research method that involves a small, demographically diverse group of people who participate in a guided discussion about a specific topic.  This method is going to be used to gather feedback on housing services, campaigns, and effectiveness of housing policies in Nunavut and the Western Cape Province. The discussions will be moderated by the researcher or a designate is typically to ensure that all participants could share their views, and that the conversation stays on track. This method is also cost effective and a quick way of collecting data
2. Surveys: In collaboration with the supervisor and the research team, clear, precise and easy to understand questionnaires are going to be designed and used to gather data on local housing needs, satisfaction, and community impact in rural areas. The advantage of this method is that surveys can be administered quickly and cost-effectively, and the numerical data collected through quantitative surveys can be subjected to rigorous statistical analysis, allowing researchers to identify patterns, correlations, and trends. Questionnaires will be distributed online, and research assistants will also be used to do face to face interviews with questionnaires improving objectivity, efficiency and comparability of data across different locations and groups of people.
3. In depth Interviews: Semi-structured interviews with key stakeholders, including government officials, private sector representatives, housing providers, and rural residents will allow participants to share their experiences and perspectives in their own words, providing nuanced insights that surveys or questionnaires might miss. These interviews will be open-ended and discovery-oriented, allowing the conversation to flow naturally and uncover unforeseen themes and deeper perspectives, particularly useful for exploring complex issues, such as the dynamics of PPPs in housing, by capturing the detailed viewpoints of various stakeholders.

• Sampling

Sampling in research refers to the process of selecting a subset of individuals or items from a larger population to make inferences about that population. This technique is essential for collecting data efficiently and ensuring that the findings are representative of the entire group without needing to survey everyone. The section below discusses the key objectives about this research’s sampling:

Objectives of Sampling

1. Reduce Costs and Time: Sampling allows the researcher and associates to gather data more efficiently by focusing on a manageable subset of the population.
2. Improve Accuracy: Smaller, well-designed samples can lead to more accurate and focused data collection.
3. Ensure Representativeness: By carefully selecting a sample, the researcher and associates can ensure that the findings are representative of the larger population

Sampling methods are broadly classified into two categories: probability sampling and non-probability sampling. In probability sampling, every individual or item in the population has a known, non-zero chance of being selected. This type of sampling is often used when researchers aim for unbiased, generalizable results. In non-probability sampling, individuals are selected based on specific characteristics or convenience rather than random selection. This research shall use a                  combination of probability and non-probability sampling techniques to ensure that the study on PPPS in rural    housing is both comprehensive and representative, providing valuable insights into how these   partnerships can be leveraged to improve housing conditions.

Primary data collection will commence with focus groups. For focus groups the research will deploy purposive sampling technique. For surveys the survey will use a combination of random sampling, convenience and snowball sampling. These sampling techniques, their application and rationale for using them is discussed below.

1. Purposive Sampling

• Description: Participants from five communities in Nunavut and five communities in rural Western Cape Province are selected based on specific characteristics or criteria relevant to the research such as working or experience working in government, construction, NGO, and private business.
• Application: Selected key stakeholders, such as government officials, private sector partners, and community leaders involved in rural housing PPPs will be approached. Their interaction among themselves and with the researcher/research assistant is expected to generate ideas and deep insights in the role of PPPS in rural housing.
• Advantages: Allows for in-depth exploration of specific issues and insights from knowledgeable participants
  1. Simple Random Sampling
• Description: Every individual in the population has an equal chance of being selected.
• Application: Use random number generators or random selection tools to choose participants from a list of all potential respondents in the selected rural areas.
• Advantages: Minimizes bias and allows for generalization of results to the entire population
  2. Snowball Sampling
• Description: Initial participants refer other participants with similar characteristics or experiences.
• Application: Useful for reaching hard-to-access populations, such as rural residents who may not be easily identifiable through other sampling methods.
• Advantages: Helps in identifying and recruiting participants who are part of informal networks.
  3. Convenience Sampling
• Description: Participants are selected based on their easy accessibility and proximity.
• Application: Can be used for preliminary research or pilot studies to gather initial insights.
• Advantages: Quick and cost-effective, though it may introduce bias and limit generalizability.

Data analysis

1. Policy Analysis: Evaluation of existing housing policies and their applicability to rural contexts.Policy analysis plays a crucial role in improving government-to-private sector partnerships in housing by providing a structured approach to understanding and addressing the challenges and opportunities within these collaborations. The current policies will be analyzed to identify critical success factors.  Policy analysis helps identify the critical success factors (CSFs) necessary for effective public-private partnerships (PPPs) in housing. These factors include political support, a favorable legal framework, appropriate risk allocation, and trust between partners. On the other hand, policy analysis will be used to identify barriers to development of affordable housing in rural areas of Nunavut and the Western Cape Province.
2. Case Studies: In-depth analysis of successful (and unsuccessful) PPP models in rural social housing, both domestically and internationally will be studied. Cote (2023) suggested that using real world examples makes the findings practically relevant, relatable and applicable. Caution would be taken to compare like for like, apples to apples. Preliminary reading of the cases has shown that while most PPPs relate to urban areas, there are a few that are specific to rural areas. WE also noted that a study of a few of the PPPs in urban areas was also necessary to fully understand the models used in PPPs and fact check if they are applicable to this research. The section below shows some notes from our preliminary review of case studies.

Nunavut

Nunavut has faced significant challenges in providing adequate housing due to its remote location and harsh climate. One notable PPP initiative is the Nunavut Housing Corporation’s partnership with private developers to build affordable housing units. This partnership focuses on leveraging private sector expertise in construction and project management while ensuring that housing meets the unique needs of the Inuit population. The collaboration has resulted in the development of energy-efficient homes that are better suited to the Arctic environment.

Greenland

Greenland has also utilized PPPs to address housing shortages, particularly in urban areas like Nuuk. The Nuuk City Development Project is a prime example, where the government partnered with private developers to create mixed-use residential and commercial spaces

This project aimed to modernize the city’s infrastructure while providing affordable housing options. The partnership included innovative financing models and sustainable building practices to ensure long-term viability.

Iceland

Iceland has implemented several PPPs to enhance housing availability and quality. One significant case is the Reykjavik Housing Initiative, where the city government collaborated with private developers to build affordable housing units.

This initiative focused on creating environmentally sustainable housing solutions, incorporating green building technologies and renewable energy sources. The partnership also emphasized community involvement in the planning process to ensure that the housing met local needs.

Western Cape

In South Africa’s Western Cape, PPPs have been instrumental in addressing housing challenges in urban and peri-urban areas. The Cape Town Integrated Housing Project is a notable example, where the city partnered with private developers to build mixed-income housing communities. This project aimed to reduce spatial inequality and provide affordable housing options for low- and middle-income families. The partnership included innovative financing mechanisms, such as leveraging private investment and government subsidies, to ensure project sustainability.

These case studies demonstrate the potential of PPPs to address housing challenges in diverse contexts. By leveraging the strengths of both the public and private sectors, these partnerships can create sustainable, inclusive, and efficient housing solutions.

1. Statistical analysis: Quantitative data obtained from surveys and semi-structured interviews will be processed preferably in the R-Statistical Software. R is widely accepted as the most versatile and powerful option because of its open-source nature, extensive statistical capabilities, and flexibility for complex analyses. It is highly customizable but might end up using SPSS (Statistical Package for the Social Sciences because of its simplicity and requirements from UCT.
2. Expected Outcomes

• Challenges and Opportunities:

Identification of challenges and opportunities in government and private partnerships.

• Sustainable Models:

One of the practical contribution of this study is that it will provide actionable insights and models for policymakers, governments, and private entities to effectively deliver social housing in rural areas.

• Policy Recommendations:

Policy Contribution: The research will offer evidence-based recommendations for designing and implementing rural social housing policies that leverage PPPs.

• Theoretical Contribution:

This research will advance the understanding of how PPPs can be adapted to rural contexts, contributing to the broader literature on social housing and rural development.

• Social Contribution:

By addressing the housing needs of rural communities, this research aims to promote social equity, economic resilience, and community sustainability.

6. Timeline

Year 1 (Sept 2025 – Aug 2026)

Sept – Dec 2025: Conduct a comprehensive literature review to identify gaps

Jan – Mar 2026: Refine research questions.

Apr – Jun 2026: Develop research design and methodology

Jul – Aug 2026: Obtain necessary approvals (e.g., ethics clearance) and finalize research instruments.

Year 2 (Sept 2026 – Aug 2027)

Sept – Dec 2026: Begin data collection.

Jan – Mar 2027: Start preliminary data analysis.

Apr – Jun 2027: Complete data collection and begin in-depth data analysis.

Jul – Aug 2027: Review and refine data analysis, identify key findings.

Year 3 (Sept 2027 – Aug 2028)

Sept – Dec 2027: Finalize data analysis and start writing the thesis.

Jan – Mar 2028: Continue writing and seek feedback from supervisors.

Apr – Jun 2028: Revise and refine the thesis based on feedback.

Jul – Aug 2028: Prepare for thesis submission and defense.

Sept 2028: Submit the thesis and complete the defense.

7. Ethical Considerations

The research will adhere to ethical guidelines, ensuring informed consent, confidentiality, and anonymity for all participants. Special attention will be given to the vulnerability of rural populations and the potential power dynamics between stakeholders. The following shall be applied in this research.

• Obtain informed consent from all participants.
• Ensure confidentiality and anonymity of respondents.
• Be culturally sensitive and respectful of local customs and norms.

8. Conclusion

This research addresses a critical gap in the literature by exploring the role of government and private partnerships in delivering social housing for rural communities. By focusing on the unique challenges and opportunities in rural areas, the study aims to develop sustainable models that can improve housing outcomes and contribute to the long-term vitality of rural communities

9. References

• Abdul-Aziz A (2010) Housing private public partnerships: perspectives from the government agencies. In: Paper presented at the 4th NAPREC conference. National Institute of Valuation (INSPEN), Selangor, Malaysia, vol 24
• Abdul-Aziz A, Kassim PS (2011) Objectives, success and failure factors of housing public–private partnerships in Malaysia. Habitat Int 35(1):150–157. https://doi.org/10.1016/j.habitatint.2010.06.005
• Alteneiji, K., Alkass, S. & Abu Dabous, S. (2020) A review of critical success factors for public–private partnerships in affordable housing. Int J Syst Assur Eng Manag11, 1192–1203. https://doi.org/10.1007/s13198-020-00976-x
• Cote, C (2023) 5 Benefits of Learning Through the Case Study Method. Havard Business School Online. 5 Benefits of the Case Study Method | HBS Online
• Fell, T., & Mattsson, J. (2021). The Role of Public-Private Partnerships in Housing as a Potential Contributor to Sustainable Cities and Communities: A Systematic Review. Sustainability, 13(14), 7783. https://doi.org/10.3390/su13147783

PhD Research Proposa1