The Grabouw Sustainable Development Initiative (SDI) is one of six pilot projects undertaken by the DBSA in an effort to support the development of “sustainable communities.” This programme is in response to the realization that, although international and national policies and frameworks (e.g. Local Agenda 21, South Africa’s White Paper on Local Government) have long emphasized the need to develop local solutions to the challenges of sustainable development, such objectives are notoriously difficult to implement.

One of the points of departure of the DBSA Sustainable Communities Programme is the establishment of a “social compact” in a given local area. This entails facilitating authentic communication between the diverse groups, moving beyond “us and them” perspectives, identifying common interests, and developing a shared vision. The social compact and shared vision then provides the basis for the creation of a spatial planning framework that effectively links social, environmental, and economic opportunities and constraints. Over and above the development of suitable infrastructure to realize the collective vision, the objective is to develop communities in the true sense of the word, in which residents enjoy a sense of belonging and conviviality.

The Grabouw Initiative was suggested as suitable for a case study because it is the most advanced of the existing pilot projects. It is also expected that it will be the most suitable for the identification of possible success factors in the planning and implementation of such initiatives, whereby such lessons could assist the other existing or potential pilot projects. These lessons could also contribute more broadly to better, more collaborative local governance in South Africa, including the improved preparation and implementation of Integrated Development Plans (IDPs). Furthermore, the Grabouw Initiative is currently at a critical juncture, as its emphasis moves from facilitation and planning to implementation.

Aim and objectives

The aim of the case study is ensure that the lessons emanating from the Grabouw Initiative and the broader DBSA Programme are identified, analysed, and disseminated in a timely and effective manner, so that they contribute to the success of the Programme and, more generally, to improved local governance in southern Africa.

More particularly, the objectives of the case study are as follows:

1. To identify and analyse lessons emanating from the Initiative so that these can be:
1. Responded to in a timely and effective manner in the further implementation of the Initiative;
2. Considered in the planning and implementation of the other pilot projects in the DBSA Sustainable Communities Programme; and
3. Considered in the implementation of local governance policies and frameworks, more generally, including the preparation and implementation of IDPs.
2. To develop a template for the development of similar case studies of the other existing or potential pilot projects in the DBSA Sustainable Communities Programme, in order to institutionalise an “action learning” approach to implementing the pilot projects. This also includes the involvement of key DBSA staff in the preparation of the proposed case study, so as to develop in-house capacity for the development of such case studies and the implementation of action learning approaches to development interventions.

Project approach and methodology

The key research questions are as follows:
1. What has happened in the planning and implementation of the Initiative to date?
2. Has the Initiative achieved its objectives?
3. What are the key factors of success or failure of the Initiative?
4. How can the lessons emanating from the Grabouw experience be applied in the further implementation of the Initiative, in the broader DBSA Programme, and in local governance, more generally?

The overarching approach will be based on established, rigorous case study analysis as an effective means for context-specific and detailed analysis of the inter-relationships between various variables. The data generation process will include document research, semi-structured interviews, and focus groups as key components of the methodology. In terms of triangulating research findings and ensuring that all perspectives are identified, special emphasis will be placed on including representatives from all relevant stakeholder groups, including business, government, and civil society.

The key project stages are as follows:

1. Stage 1: Inception and document research. In this stage, the DBSA researchers, in particular, will be tasked with the preparation of a background information document based on available information in, for instance, the DBSA Programme and Initiative documentation, the Grabouw IDP, national and provincial policies and programmes, etc. This will also include the preparation of a database of stakeholder groups and individuals, which will provide the basis of the sampling strategy for data generation. It will also include the development of an interview schedule.
2. Stage 2: Data generation. This will consist primarily of semi-structured, face-to-face interviews. These will be conducted with representatives of diverse individuals, including local government officials, DBSA Programme staff, consultants, and representatives of local business associations and civil society organisations, among others. The above mentioned interview schedule will ensure that key questions are responded to by each informant, but the interviews will also adopt a narrative approach to allow the generation of in-depth, context-specific information. Where necessary, telephone interviews will also be conducted.
3. Stage 3: Data analysis and preparation of draft case study report. The data generated through the document research and interviews will be interpreted by means of synthesising and thematic coding of interview transcripts and researchers’ notes. This will give rise to a first draft of the case study research report, including a summary document containing key findings and remaining questions.
4. Stage 4: Feedback and further data generation. The summary of the draft report will be disseminated to informants (including all interviewees) in order to allow for feedback and respondent validation. It will also provide the basis for a focus group discussion to which key informants will be invited.
5. Stage 5: Preparation of final report.
6. Stage 6: Preparation of conference paper and popular article.