Dii-2017 Proceedings PDF

DII – 2017
4th International Conference on Development and

Investment in Infrastructure - Strategies for
Africa
30 August - 1 September, 2017

Livingstone, Zambia
Editors
Erastus Mwanaumo
Innocent Musonda
Franco Muleya
Co-Editors
Balimu Mwiya
Chioma Okoro
Alice Lungu
2017
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Published by
The Development and Investment in Infrastructure (DII) Conference Series
P. O. Box 17011
Doornfontein
Johannesburg, South Africa, 2028
Copyright © DII-2017, 2017
All rights reserved. No part of these proceedings may be reproduced or translated in any form,
by any means without the written permission from DII-2017
ISBN: 978-0-620-74121-7
Correspondence:
All correspondence pertaining to the International Conference on Development and Investment

in Infrastructure (DII-2017) - strategies for Africa, should be sent to:
Dr Erastus Mwanaumo
DII-2017 Chair: Technical Programme
School of Engineering
University of Zambia
Box 32379
Lusaka, Zambia
[email protected]
Dr Innocent Musonda
DII-2017 Chair: Scientific Programme
Department of Construction Management & Quantity Surveying
University of Johannesburg, Johannesburg
PO Box 17011
Doornfontein
2028, South Africa
Email: [email protected]
Website: www.diiconference.org
Email: [email protected]
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CONFERENCE SPONSORS
WAH KONG ENTERPRISES LIMITED
CONFERENCE HOSTS
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ENDORSEMENTS
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FOREWORD
On behalf of the Organising Committee, it is my pleasure to welcome you to Livingstone, Zambia, the host
city of the International Conference on Development and Investment in Infrastructure (DII-2017). The DII-
2017 conference is part of the DII Conference series on Infrastructure Development and Investment in
Africa which aims to provide an international forum for leaders, researchers, practitioners and other
stakeholders in infrastructure development to discuss and devise ways of maximizing benefits from
infrastructure development in Africa and achieve outputs that will inform policy.
With focus on regulatory, institutional framework, general infrastructure development and investment in
Africa, the 2017 conference, themed “INFRASTRUCTURE AND SUSTAINABLE DEVELOPMENT –
IMPACT OF REGULATORY AND INSTITUTIONAL FRAMEWORK”, will address a broad range of topics
around infrastructure to evaluate and draw lessons on innovations, empowerment, growth and sustainable
development.
The broad topics covered by the conference include:
 Infrastructure development strategies for developing countries

 Renewable energy for sustainable growth and development
 Human factors in infrastructure development
 Legal and ethical issues in infrastructure development
 Infrastructure finance, procurement and value engineering
 Sustainable development and growth infrastructure
 Appropriate technology and innovation
 Integrative infrastructure development planning
 ICT in infrastructure development
 Social infrastructure development in developing countries
 Infrastructure, climate change and pandemics in developing countries
Warm gratitude is extended to the authors who have successfully gone through a two-tier peer review
process in order to have their papers accepted and published in this proceeding. The peer review process
would have been impossible without the support of the members of the Scientific and Technical review
Committees (STC). The organising committee is thankful for this voluntary service that is so central to the
quality of the accepted papers.
Special thank you also goes to all the conference delegates that have travelled from different continents.
Thank you for attending the event and please make the most of your time at the conference while enjoying
the hospitality of the Zambian people here in Livingstone.
Erastus Mwanaumo
For/DII-2017
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ACKNOWLEDGEMENT
The Organising Committee of the DII-2017 is grateful to the University of Zambia, Copperbelt University,
Zambia, National Council for Construction (NCC), Zambia, University of Johannesburg, South Africa, the
Chartered Institute of Building, A+urban technics, Wah Kong Construction, the Universal Mining and
Chemical Industries Limited, Zambia Environmental Management Agency, China Civil Engineering
Construction Corporation Zambia Limited, Kalijee Construction Zambia Limited, AVIC International
Corporation, the South African Council for the Project and Construction Management Professions and
other South African, African and International universities and Institutions for supporting the conference
through their valued contributions.
The contributions and unique support of the International Advisory and Scientific Committees, who worked
tirelessly to prepare refereed and edited papers, which produced this published proceedings of the highest
standard including satisfying the criteria for subsidy by the South African Department of Higher Education
and Training (DHET), is truly treasured. The contributions of Dr Innocent Musonda, Dr Erastus
Mwanaumo, Dr Franco Muleya, Dr Trynos Gumbo, Dr Justus Agumba, Prof Didibhuku Thwala, Prof
Clinton Aigbavboa, Dr Balimu Mwiya, Dr Alice Lungu, Dr Chabota Kaliba, Dr Nelly Chunda-Mwango,
Prof Mundia Muya, Mrs Chioma Okoro, Ms Changwe Kafukula, Ms Chama Mwansa and Mr Brian Mutale
are recognised. The support of Mr Ansary Nazeem and Prof Steve Ekolu is laudable.
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DISCLAIMER
While every effort is made to ensure accuracy in this publication, the publishers and editors make no
representation, express or implied, with regard to the accuracy of the information contained in these
proceedings and cannot accept any legal responsibility of liability in whole or in part for any errors or
omissions that may be made.
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DECLARATION
All the papers in these conference proceedings were double-blind peer reviewed at abstract and full paper
stage by the members of the International Review Committee. The process entailed detailed reading of the
abstracts and full papers, reporting of comments to authors, modification of papers by authors whose papers
were not rejected by the reviewers, and re-evaluation of revised papers to ensure quality of content.
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CONFERENCE COMMITTEES
Organising Committee
Zambia
Dr Erastus Mwanaumo (Chairman: Technical Programme)
Dr Franco Muleya
Dr Balimu Mwiya
Dr Alice Lungu
Dr Chabota Kaliba
Dr Nelly Chunda-Mwango
Ms Chama Mwansa
Mr Brian Mutale
South Africa
Dr Innocent Musonda (Chairman: Scientific Programme)
Prof Didibhuku Thwala
Prof Clinton Aigbavboa
Dr Trynos Gumbo
Mrs Chioma Okoro
Scientific Committee
This committee ensured that the final papers incorporated the reviewers’ comments, were correctly
allocated to the appropriate theme and met the requirements set by the organisers in line with international
standards for inclusion in the proceedings. They also arranged the papers into their final sequence as
captured on the USB memory stick and Table of Contents.
Dr EM Mwanaumo, University of Zambia

Dr F Muleya, Copperbelt University, Zambia
Dr I Musonda, University of Johannesburg, RSA
Dr B Mwiya, University of Zambia
Prof CO Aigbavboa, University of Johannesburg, RSA
Prof D Thwala, University of Johannesburg, RSA
Prof M Muya, University of Zambia
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Technical Review Committee
The technical review committee comprised of experts from the built environment. The committee ensured
that the papers were of the highest standard in terms of originality of material; academic rigor; contribution
to knowledge; critical current literature review; research methodology and robustness of analysis of
findings; empirical research findings; and overall quality and suitability for inclusion in the conference
proceedings.
Dr C Trinkl, Technische Hochschule Ingolstadt (THI), Institute of new Energy Systems (InES), Germany
Dr D Mzyece, Oxford Brookes University, UK
Dr E Munshifwa, Copperbelt University, Zambia
Dr JN Agumba, University of Johannesburg, RSA
Dr L Eltrop, IER, University of Stuttgart, Germany
Dr L Chipungu, University of Kwazulu -Natal, RSA
Dr N Chileshe, University of South Australia, Australia
Dr R Ndihokubwayo, Cape Peninsula University of Technology, RSA
Dr S John, University of Science & Technology, Namibia
Dr SS Wong, University College of Technology, Sarawak, Malaysia
Dr W Matipa, Liverpool Moore, University, UK
Dr V Samwinga, Northumbria University, UK
Dr W Musakwa, University of Johannesburg, RSA
Dr O Babatunde, Witwatersrand University, RSA
Prof A Windapo, University of Cape Town, RSA
Prof A Talukhaba, Tshwane University of Technology, RSA
Prof C Chirwa, Bolton University, UK
Prof CO Aigbavboa, University of Johannesburg, RSA
Prof D Thwala, University of Johannesburg, RSA
Prof FA Emuze, Central University of Technology, RSA
Prof G Ofori, National University of Singapore, Singapore
Prof J Katende, University of Science and Technology, Botswana
Prof J Khatib, University of Wolverhampton, UK
Prof JJ Smallwood, Nelson Mandela Metropolitan University, RSA
Prof KK Shakantu, University of Free State, RSA
Prof M Muya, University of Zambia
Prof Mbaiwa, Okavango Research Institute/ University of Botswana
Prof N Gil, MBS, University of Manchester, UK
Prof PD Rwelamila, University of South Africa, RSA
Prof W Zörner, Technische Hochschule Ingolstadt (THI), Institute of new Energy Systems (InES),
Germany
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THE PEER REVIEW PROCESS
Overview
The need for high quality conference proceedings, evident in the accepted and published papers, entailed a
rigorous two-stage blind peer review process by no less than two acknowledged experts in the subject area.
Experts including industry professionals and academics were assigned with the responsibility of ensuring
that high standards of scientific papers were produced and included in the proceedings.
First stage of review

Submitted abstracts were twice blind reviewed. Each abstract was reviewed in terms of relevance to
conference theme and objectives, academic rigor, contribution to knowledge, originality of material and
research methodology. Authors whose abstracts were accepted were provided with anonymous reviewers’
comments and requested to develop and submit their full papers taking into consideration the abstract
review comments.
Second stage of review

Experts were once again assigned the submitted full papers relative to their areas of expertise. The full
papers were reviewed in terms of relevance to conference theme and objectives; originality of material;
academic rigour; contribution to knowledge; critical current literature review; research methodology and
robustness of analysis of findings; empirical research findings; and overall quality and suitability for
inclusion in the conference proceedings.
Third stage review

Authors whose papers were accepted after the second review were provided with additional anonymous
reviewers’ comments on evaluation forms, and requested to submit their revised full papers. Evidence was
required relative to specific actions taken by the authors regarding the referees’ suggestions. Final papers
were only accepted and included in the proceedings after satisfactory evidence was provided. To be eligible
for inclusion, these papers were required to receive a unanimous endorsement by all the reviewers that the
paper had met all the conditions for publication. Out of 66 submissions, 41 papers were finally accepted
and included in the DII-2017 conference proceedings.
At no stage was any member of the Scientific Review Panel or the Organising Committee or the editors of
the proceedings involved in the review process related to their own authored or co-authored papers. The
role of the editors and the scientific committee, was to ensure that the final papers incorporated the
reviewers’ comments and to arrange the papers into the final sequence as captured on the USB memory
stick and Table of Contents.
Regards
Innocent Musonda
Chair: Academic Programme
University of Johannesburg
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UNIVERSITY OF JOHANNESBURG
The University of Johannesburg (UJ), is the largest, multi-campus, residential university in South Africa.
Born from a merger between the former Rand Afrikaans University (RAU), the Technikon Witwatersrand
(TWR) and the East Rand campuses of Vista University in 2005, the University of Johannesburg's unique
academic architecture reflects a comprehensive range of learning programmes, leading to a variety of
qualifications ranging from vocational and traditional academic to professional and postgraduate
programmes, across the four campuses, namely: Auckland Park Kingsway, Auckland Park Bunting Road,
Doornfontein and Soweto campuses. The campuses vary in size and each has its own character and culture,
contributing to the institution’s rich diversity.
The University of Johannesburg has benefited from a large pool of researchers bringing together various
fields of expertise and research focus areas. The university provides the ideal ground for interdisciplinary
research and the university has more than 87 rated researchers. Five of these researchers are A-rated - all
of whom are recognised as world leaders in their field. The university is also home to nine research centers.
The University fosters ideas that are rooted in African epistemology, but also addresses the needs of the
South African society and the African continent as it is committed to contributing to sustainable growth
and development. We continue to build a culture of inclusion, embracing South Africa's rich history,
culture, languages, religions, gender, races, social and economic classes. Additionally, the University
encourages a culture of service as part of the university student experience and it proudly pursues a four-
language policy of English, isiZulu, Afrikaans and Sesotho sa Leboa.
Our staff and students come from over 50 countries in Africa and the world. The university has also built
links, partnerships and exchange agreements with leading African and other international institutions that
further enrich the academic, social and cultural diversity of campuses. It is also the recipient of the highest
levels of external financial support, from donors and partners all over the world. This demonstrates the high
esteem in which we are held internationally.
In its mission, UJ commits itself to the following:

• Quality education;
• Leading, challenging, creating and exploring knowledge;
• Supporting access to a wide spectrum of academic, vocational and technological teaching, learning
and research;
• Partnerships with our communities; and
• Contributing to national objectives regarding skills development and economic growth.
The values guiding all University activities include:

• Academic distinction;
• Integrity and respect for diversity and human dignity;
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• Academic freedom and accountability;
• Individuality and collective effort; and
• Innovation
In giving expression to its vision of being a pre-eminent South African and African University, UJ
has set itself ten strategic goals. Its priorities are to:
• Build a reputable brand;

• Promote excellence in teaching and learning;
• Conduct internationally competitive research;
• Be an engaged university;
• Maximise its intellectual capital;
• Ensure institutional efficiency and effectiveness;
• Cultivate a culture of transformation;
• Offer the preferred student experience;
• Secure and grow competitive resourcing; and
• Focus on the Gauteng city regions.
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THE COPPERBELT UNIVERSITY
HISTORY
With its motto “Knowledge and Service”, the Copperbelt University (CBU) was established in 1987 as part
of the University of Zambia. It was initially intended to be located in Ndola, about 50km South East of
Kitwe, as UNZANDO (University of Zambia in Ndola). But since the University of Zambia (UNZA) had
no infrastructure in Ndola at the time, UNZANDO was allowed to operate in Kitwe using the Zambia
Institute of Technology (ZIT) infrastructure. ZIT was integrated into Copperbelt University in 1989, two
years after the university was established. Until recently (when many public and private universities are
being established), the Copperbelt University was the only other university in the country after the
University of Zambia. Currently, the university has eight academic schools – Schools of the Built
Environment, Engineering, Medicine, Graduate Studies, Business, Mines and Mineral Sciences, and the
School of Natural Resources. In addition, the University offers distance education through its Directorate
of Distance Education and Open Learning. The Dag Hammarskjold Institute for Peace Studies is
accommodated at Copperbelt University.
THE SCHOOL OF BUILT ENVIRONMENT
The School of the Built Environment (SBE) (formerly School of Environmental Studies) was established
in 1981 under ZIT when the School admitted its first students. The School remained temporarily situated
at ZIT until 1989. The School of the Built Environment (SBE), therefore, increased its scope by taking on
the ZIT Diploma courses in Architecture, Quantity Surveying, Land Surveying and Town & Country
Planning, and Advanced Technician course in Construction. The University began to offer these
programmes at degree level. Currently, the School consists of four departments, namely: Architecture,
Construction Economics and Management (CEM), Real Estate Studies (RES, formerly Land Economy),
and Urban & Regional Planning (URP). In addition, the school also offers a Master of Science programme
in Project Management. The School also runs a Project and Consultancy Section called the Practice Office,
which is responsible for undertaking consultancy services in various fields of the built environment.
Currently, there are 5 undergraduate and 1 masters’ degree programmes offered in the school. These are
BSc. in Quantity Surveying, and BSc. in Construction Management (both offered by the CEM
Department); BSc. in Real Estate Studies (offered by the RES Department); BSc. in Urban & Regional
Planning (offered by the URP Department); Bachelor of Architecture (BArch, offered by the Architecture
Department); and the MSc. in Project Management (offered by the School of Graduate Studies).
After successful completion of their degree programmes, our students join both public and private sector
reputable organisations within and outside the country where they work as Architects, Design Consultants,
Construction Managers, Valuers, Planners, Project Managers, Quantity Surveyors, Investment Bankers and
many more. Other than the masters programme, which takes up to two years to complete, all our
undergraduate programmes should take five years to complete. Our students come from within and outside
Zambia. In terms of staffing, it is the policy of the University that it recruits highly qualified personnel. For
this reason, the university has put in place a policy where the minimum qualification of a lecturer is not
only a masters’ degree but also that the masters’ degree must be in the same discipline as the lecturer’s first
degree. In addition to this profile, the SBE has a very ambitious programme where it intends to expand the
school by introducing more programmes like the MSc. Degree in Land Management. This will help in
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meeting the ever increasing demand for qualified professionals within and outside the SADC region. More
information on CBU in general and SBE in particular, can be found on our website at www.cbu.edu.zm.
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THE SCHOOL OF ENGINEERING, UNIVERSITY OF ZAMBIA
INTRODUCTION
University of Zambia opened its doors in 1966, two years after Zambia attained its independence. The main
purpose was to produce human resources (graduates) for the government and industry in Zambia. From the
first intake of students of 300, the population has grown to the current population of over 32,000. The
School of Engineering located at the main campus of the University of Zambia in Lusaka is one of the
twelve (12) schools in the university. Over the years, the school has responded to various national
challenges through teaching, research, training, consultancy and public service. The School of Engineering,
now comprising the Departments of Agricultural Engineering, Civil & Environmental Engineering,
Electrical and Electronic Engineering, Geomatics Engineering and Mechanical Engineering was
established on 1st May 1969.
The school has a student population that is in excess of 490 undergraduate, 300 Master of Engineering
students and 15 Doctoral Candidates across all the departments. There are currently 60 academic members
of staff in its five departments. The school is realigning itself to become a trainer of trainers by increasing
its capacity in training at postgraduate level. The postgraduate programmes aim at training engineers with
advanced and in depth knowledge in specialised fields.
The number of postgraduate programs remained small for a long period of time until the year 2010 when
it became clear that there was a serious gap in trained manpower in the energy sector. To address this gap,
the University of Zambia, School of Engineering with the financial support from NUFFIC, developed a
master’s degree program in Renewable Energy. This programme is hosted by the School of Engineering.
From this experience, the School identified many gaps in engineering management fields, the ICT sector,
and project management area and developed a number of other programs in electronics, construction and
engineering management. The aim was to elevate the caliber of engineers in the country to improve the
management of engineering firms in line with the new technologies.
POSTGRADUATE PROGRAMMES OFFERED IN THE SCHOOL

PhD research programmes
PhD research programmes offer a vast range of opportunities to students who relish the chance to undertake
a research project with clear intellectual, scientific, industrial or commercial relevance and challenge.
Currently the school has PhD Candidates in the Departments of Civil & Environmental Engineering and
Mechanical Engineering. The School also undertakes interdisciplinary research in conjunction with other
institutions.
Taught MEng programmes

Part I – Taught Component (First Year)
1. Master of Engineering in Agricultural Engineering
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2. Master of Engineering in Engineering Management
3. Master of Engineering in Construction Management
4. Master of Engineering in Structural Engineering
5. Master of Engineering in Water Resources Engineering
6. Master of Engineering in Environmental Engineering
7. Master of Engineering in Project Management
8. Master of Engineering in Electrical Power Engineering
9. Master of Engineering in Telecommunications Systems
10. Master of Engineering in Information and Communication Technology Security
11. Master of Engineering in Information and Communication Technology
12. Master of Engineering in Computer Communications
13. Master of Engineering in Information and Communication Technology Policy, Regulation and
Management
14. Master of Engineering in Wireless Communications
15. Master of Engineering in Geo-Informatics and Geodesy
16. Master of Engineering in Renewable Energy Engineering
17. Master of Engineering in Production Engineering and Management
18. Master of Engineering in Thermo-fluids Engineering
19. MEng in High Voltage Engineering and Power Management (New Programme)
20. MEng in Electromagnetic Compatibility and Electrical Safety (New Programme)
Part II – Research Component (Second Year)

Part II comprises research work and a dissertation. A candidate is, at the end of his/her research work, and
prior to the submission of his or her dissertation, expected to present the results of his/her research work at
an open Seminar organised by the Directorate of Research and Graduate Studies for the purposes of
discussion and comments. The Examination includes a viva-voce.
All Master Programmes are also offered by Research (Two year programmes)
With these new strides, the university answers the call from society, which requires a pool of well-trained
engineers meeting the challenges of operating in the developing world while meeting the challenges of
both the developing and developed economies.
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KEYNOTE SPEAKERS’ PROFILES
____________________________________________________
The Infrastructure Investment and Development (DII) conference is an international conference which
provides a forum for discourse on the status quo regarding Africa’s massive shortfall in infrastructure
development and investment that limits its productive capacity and global competitive advantage.
Inaugurated in 2014 in Livingstone, Zambia, the conference has been jointly hosted by the University of
Johannesburg, the University of Zambia, Copperbelt University, National Council for Construction of
Zambia, the Construction Industry Development Board of South Africa, and the Chartered Institute of
Building of United Kingdom the Africa Region, and was recently (in 2016) supported by the Network of
Energy Excellence for Development (NEED), a project funded by the European Union (EU) and
implemented by the African, Caribbean and Pacific Group of States (ACP). The conference is a great
platform for international delegates including Built Environment professionals, researchers, academics and
post-graduate students who are passionate about eliciting solutions to the challenges faced in infrastructure
provision and sustainability. The conference further offers platform for brainstorming and probing into
strategies to realise Africa’s vision in securing the future and attaining full potentials in infrastructure
development and investment.
Themed, “INFRASTRUCTURE AND SUSTAINABLE DEVELOPMENT – IMPACT OF REGULATORY

AND INSTITUTIONAL FRAMEWORK”, the 2017 conference will focus on regulations, and general
infrastructure development and investment in Africa, addressing a broad range of topics around
infrastructure investment, development and sustainability. The confirmed keynote speakers include:
Prof Luke MUMBA

LUKE MUMBA has a wealth of knowledge and experience gained over his
illustrious academic and professional career that spans over 25 years. Born and
raised in Zambia, Prof Mumba holds a doctorate degree in genetics from
University of Cambridge (1994); a Master’s Degree in Molecular Genetics from
the University of Wales, UK, (1987); and a Bachelor’s Degree in Biology &
Chemistry from UNZA (1985). He received recognition as an Extraordinary
Associate Professor in the Department of Botany & Zoology of the University
of Stellenbosch, South Africa between 2012 and 2014. He is a recipient of four
international research fellowships and awards (British ODA Fellowship; Beit
Trust Fellowship; UNESCO Fellowship; and the Rodger Gilbert Memorial Prize Award).
Luke is the Founding Director of the Biotechnology Outreach Society of Zambia, a professional association
spearheading biotech outreach in Zambia. He is also one of the founding trustees of the Zambian Academy
of Sciences. He has received many awards, fellowships and visiting scholarships including from the Hawaii
State Foundation (Honolulu), Austrian (Innsbruck) and the British ODA Fellowships. He has served in
many national boards including as Chairman of the National Aids Council Biosafety Committee, member
of the Board Directors of the Zambia Wildlife Authority (ZAWA), Member of the National Plant Genetic
Resources Committee, member of the University of Zambia Council and Senate, and as member of the
National Biosafety Committee. Luke has also presented, researched and written widely on genetics,
biotechnology and on science, technology and innovation (STI) in general. Prof Mumba has contributed to
the development of STI strategies and policies at national, regional and continental levels in Africa. He is
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currently a member of the African Union Commission (AUC) Monitoring and Evaluation (M&E)
Committee on the “Science, Technology and Innovation Strategy for Africa” (STISA-2024).
Prof. Murray METCALFE

MURRAY METCALFE is Professor, Globalization in the Faculty of Applied
Science and Engineering at the University of Toronto (UofT), and is also a Senior
Fellow at UofT’s Global Cities Institute. He holds a B.A.Sc. in Industrial
Engineering from the University of Toronto and a M.S. and Ph.D. in Engineering-
Economic Systems from Stanford University. He began his professional career
at McKinsey & Company, the management consulting firm, and then spent over
20 years in the venture capital industry in the U.S., until returning to academia in
2008. In the spring of 2008 and again in the fall of 2016, he was a Visiting
Scholar at the Tokyo Institute of Technology.
Murray is a member of a team from multiple faculties - management, global affairs, and engineering -
conducting research on the scaling of innovation in cities in the developing world. As part of that effort he
was a contributor to the edited volume Innovating for the Global South (University of Toronto Press, 2014).
Among his teaching responsibilities Prof. Metcalfe has developed and taught the courses “Technology,
Engineering and Global Development” and “Innovative Technologies and Organisations in Global Energy
Systems.” He also led a combined team of UofT and IIT professors, who taught a course at the Indian
Institute of Technology Bombay (IIT Bombay) in Mumbai, India. He also serves as a senior advisor in the
private equity area at LMCG Investments, an investment management firm in Boston that is a subsidiary
of the Royal Bank of Canada. He is also involved in several not-for-profits working in the areas of global
development, social entrepreneurship and sustainable large cities.
Prof. Amira Omer Siddig OSMAN

AMIRA OMER SIDDIG OSMAN is currently an Associate Professor in
Architecture at the University of Johannesburg. Amira obtained both her B.Sc. and
M.Sc. Architectural degrees from the University of Khartoum in Sudan. She also
holds a post-graduate diploma from the Institute for Housing Studies in Rotterdam
(IHS) and a PhD in Architecture from the University of Pretoria. She has worked
as an architect in Sudan and South Africa. Amira has also worked as a United
Nations Volunteer (UNV) in Maseru, Lesotho and as a Senior Researcher at the
Council for Scientific and Industrial Research (CSIR) in Pretoria. She is a registered Professional Architect
with the South African Council for the Architectural Profession.
Amira has conducted research and taught at a number of institutions for almost 30 years. She established
the Housing and Urban Environments (HUE_UP) research unit at the University of Pretoria and the
DESIGN | MAKE | TRANSFORM” design Unit 2 at the University of Johannesburg. Amira was a
convener for the World Congress on Housing, 2005 held at the University of Pretoria and of the Sustainable
Human(e) Settlements: the urban challenge, 2012, hosted by FADA, University of Johannesburg and its
partners. She also served as UIA 2014 Durban General Reporter for the International Union of Architects
(UIA) and the South African Institute of Architects (SAIA). She is also a consultant and researcher at the
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Centre of Applied Research and Innovation in the Built Environment (CARINBE) at the University of
Johannesburg.
Prof. Imasiku NYAMBE

IMASIKU ANAYAWA NYAMBE is a Professor of Geology and
Coordinator of the University of Zambia (UNZA) Integrated Water
Resources Management (IWRM) Centre, a Centre that he established. He
is a Fellow of the Zambian Academy of Sciences. Formerly, Director of
the Directorate of Research and Graduate Studies (DRGS), responsible for
research and postgraduate studies at the University of Zambia (UNZA),
2009-2017. He has a PhD in earth sciences (sedimentology) 1993, an MSc in geology (hydrogeology
/sedimentology) 1989 from Canada and B. Min. Sciences (geology) 1982 from the University of Zambia.
He is a recipient of the Canadian Commonwealth Scholarship and the American Fulbright Fellowship.
Prof. Nyambe worked in the copper mining industry in Zambia (1982-1986) before joining the University
of Zambia (UNZA), where he has over 25 years’ experience as a geo-scientist undertaking research in the
areas of geology, sedimentology, hydrogeology, environment and mining, Integrated Water Resources
Management (IWRM), and basic Remote Sensing and GIS. Prof. Nyambe has published over 170 articles
as book chapters, in journals, technical reports, presentation papers, posters and abstracts presented at many
conferences, fora, symposia, workshops and meetings all over the world, and has travelled extensively. He
championed geoscience as career in Zambian schools encouraging girl-child to enter the School of Mines
and founded the Corporate Graduate Link and Incubator Programmes at DRGS. His involvement in
research on mining and the environment earned him an award from Zambia Environmental Management
Agency in 2012 and awarded a National Science and Technology Council’s Certificate of Achievement for
the exceptional contribution to research and innovations.
On Public Service, Prof. Nyambe has served in many national committees including University of Zambia
Senate; Man and Biosphere; Petroleum Technical; National Remote Sensing; and Water Sector Advisory
Group (WSAG). He has been President of the Geological Society of Zambia (GSZ) (2000-2010) and
President of the Association of Geoscientists for International Development (AGID), Zambia (1996-2000).
He has been a Commissioner (board) member of the National Heritage and Conservation Commission
(2014-2017) and at regional level as a Board member of the Global Water Partnership-Southern Africa
(2017 to date) and a founding member.
He is currently, the Acting Chairperson and founding member of Zambia Water Partnership – the Zambian
Chapter of the Global Water Partnership and the Chairperson for Zambia Water Forum and Exhibition. At
international level, Prof. Nyambe has been the Secretary General of the Geological Society of Africa (2004-
2008) and a life Member; Vice-Chairman, Commission on Geosciences for Environmental Management
(GEM) of the International Union of Geological Sciences (IUGS), 2004-2008; Vice-Chairman,
Commission on Geological Sciences for Environmental Planning of the International Union of Geological
Sciences (IUGS) 1999-2004, Advisor on the Scientific Advisory Council (SAC) of the European Union
Water Initiative European Research Area Network (EU-WI Era-Net) – SPLASH (2007-2010) and Senior
Advisor for Africa, International Year of Planet Earth (2005-2009).
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Prof. Nuno GIL
NUNO GIL is Professor of New Infrastructure Development at the Manchester
Business School, United Kingdom. His research focuses on the structures that
bring the best of people in consensus-oriented collaborative networks formed to
produce long-lived infrastructure and tackle major societal problems such as
poverty relief, climate change, health care provision, and drug resistance. His
work develops theory, cognitive frameworks, and methods for communicating
with key stakeholders, the structure of collaborative networks, how these
networks can perform effectively and efficiently, and how to measure
performance in consensus-oriented collective action arenas. Specifically, Nuno
investigates development processes, design structures, contracting and procurement strategies, governance
structures, and the practice of leadership. Nuno has worked, or done research, with various organisations
around the globe notably in the USA: CH2M HILL and Intel; in the UK: Rolls Royce, BAA (now
Heathrow), BP, Constructing Excellence, Manchester City Council, Network Rail, Beetham Organisation,
Cross-rail, London2012, High-speed 2, and L.E.K. Consulting; in Portugal: EDP-Energy, Cross-rail; in
India: Larsen & Toubro, Dedicated Freight Corridor Corporation of India (DFCCIL); in Nigeria: Lamata;
in Uganda: Road Fund. Nuno is the co-founder and research director of the Centre for Infrastructure
Development. In 2013, Nuno jointly with Professor Carliss Baldwin (Harvard Business School) coined the
term design commons.
Prof. Nicholas CHILESHE

NICHOLAS CHILESHE is an Associate Professor in Construction and Project
Management in the School of Natural and Built Environment at the University
of South Australia. He is also the Research Education and Portfolio Leader and
Program Director responsible for the Doctorate in Project Management
Nicholas obtained his PhD in Construction Management from the Sheffield
Hallam University in 2004. Prof Chileshe was a Fellow of the Chartered
Institute of Building (FCIOB) (1999-2016), Fellow of the Australian Institute
of Building (FAIB), Fellow of the Chartered Association of Building Engineers (FCABE), Chartered
Building Engineer (C. Build E), Fellow of the Higher Education Academy (FHEA), Member of the
Chartered Institute of Management (MICM), and Member of the Australian Institute of Project
Management (MAIPM). Nicholas’s ongoing professional involvement includes membership and Chair of
the Australasian Education Committee, and the CIOB International Accreditation Panel; and as acted as
PhD External Examiner for Universities in South Africa, India and Australia. He also regularly reviews
proposals for the National Research Foundation (NRF) in South Africa, and the Higher Education Academy
(U.K) and over 42 Journals. In recognition of his scholarly and reviewing efforts, he has been a recipient
of multiple awards such as the ‘Outstanding Reviewer for Journal of Management in Engineering (JME)’,
American Society of Civil Engineers (ASCE) Outstanding Reviewers Program in 2016; Outstanding Paper
Award Winner at the Literati Networks Awards for Excellence 2015 for Construction Innovation Journal;
Journal of Engineering, Design and Technology (2008, 2010); Highly Commended Award Winner at the
Literati Networks Awards for Excellence in 2008 and 2016 for the Journal of Engineering, Design and
Technology.
Professor Chileshe is actively engaged in scholarly research work and has authored and co-authored more
than 220 refereed journal and conference publications since joining academia in 1999. His current research
xxi
interests include waste management and reverse logistics. Professor Chileshe is interested in exploring how
some of the concepts - such as quality management, risk management and reverse logistics – can act as
catalysts for the evaluation of sustainability issues within the Construction and Project Management
disciplines.
Arch. Martin KABWIRI

MARTIN KABWIRI has over 19 years of work experience in architecture and
has been serving in various capacities in this field. For 10 years, he managed
architectural and construction projects with the government of Botswana mainly
focusing on educational and administrative buildings. From 2006 he moved to
South Africa where he provided architectural services in a consortium that
managed the Fairlands Office Development project, one of the biggest
construction projects in the country (at the time) worth South African Rand 1.2
billion- this particular project won the award for best office development in Africa and Europe in 2008.
Arch. Kabwiri joined the private sector in 2008 to manage his firm (Sothemu) that he had earlier set up in
2005, whose focus is to initiate the conceptualization and implementation of various development and
infrastructural projects in Zambia and Nigeria. Sothemu has conceptualised and initiated a number of
projects. He also set up two other firms in 2008; Aspire Architects in South Africa and A+ Urban Technics
in Zambia. The firms have been undertaking several successful infrastructural projects over the past 9 years.
For example, Aspire Architects has expanded to open 3 branches in South Africa (Johannesburg,
Polokwane and Cape Town). Some of the major clients include: Gauteng government; Western Cape
government; the Free State government and the University of Venda. On the other hand, A+ Urban
Technics is one of the largest architectural firms in Zambia with branches in Kitwe and Lusaka. In addition,
he has undertaken various projects in Zambia such as the Harry Mwana Nkumbula International Airport in
Livingstone; shopping malls; the library and auditorium at National Institute for Public Administration
(NIPA) in Lusaka and has managed construction/rehabilitation of 30 health centres in Lusaka and
Copperbelt provinces on behalf of the United Nations Children’s Fund (UNICEF). His international
experience has exposed him to working in different contexts and with people from diverse backgrounds.
He has lived and worked in Botswana, South Africa and Zambia.
Arch. Kabwiri holds a Bachelor’s degree in Architecture from the Copperbelt University. He is a Member
of the Zambia Institute of Architects (MZIA), Member of the South Africa Institute of Architects (SAIA),
Gauteng Institute for Architecture (GIFA), Cape Institute for Architecture (CIFA) and Chartered Architect
with the Royal British Institute of Architects (RIBA).
QS. Matthew NGULUBE

MATTHEW NGULUBE is the Executive Director at the National Council for
Construction, Zambia. He has been Principal Consultant for over 16 years. He
has consulted as Project Manager and Quantity Surveyor for several multi-
million dollar projects in both the private and public sectors which have left a
landmark in Zambia’s infrastructure development. Key among them include-
Upgrade of the Kenneth Kaunda International Airport; Kasumbalesa border
post One-+stop-Shop; Radisson Blu 4-Star Hotel in Lusaka; Levy Business
Park Shopping Mall; The New Engineering Institution of Zambia Office
Complex and others. He is the incumbent Chairman of the Quantity Surveyors
xxii
Registration Board of Zambia and Vice President for the Association of Quantity Surveyors for Southern
Africa Region (AAQS) and Commonwealth Association of Surveyors and Land Economists (CASLE)
Southern Africa Region. He is also a member of the International Federation of Surveyors (FIG) and serves
as board member of the Habitat for Humanity.
Prof. Overson SHUMBA

OVERSON SHUMBA is the Acting Director of the Copperbelt University
Centre for Academic Development (CAD) in Kitwe, Zambia. He was the
inaugural Dean of the School of Mathematics and Natural Sciences where
he is a professor and the current Research and Innovations coordinator.
Previously, he managed a NUFFIC supported initiative for strengthening
Higher Education Research and Teaching (HEART Project). He currently
manages the Copperbelt University World Bank Africa Centre of Excellence
for Sustainable Mining (CBU ACESM). The CBU ACESM aims to promote excellence through education
for sustainable development (ESD) and quality multidisciplinary research and teaching.
xxiii
TRIBUTE TO ENGINEER CHARLES MUSHOTA
The Development and Investment in Infrastructure (DII) Conference

Organising Committee would like to pay a special tribute to the
immediate past Executive Director for the National Council for
Construction (NCC) of Zambia, Engineer Charles Mushota. Engineer
Mushota was instrumental in driving the support for the conference since
its inception in 2014. The NCC, under his leadership, consistently and
immensely supported the conference as the main sponsor, to ensure that
it was successful each year until 2016, when he left NCC to take up a
senior government position as Permanent Secretary at the Ministry of
Housing and Infrastructure.
Engineer Mushota will always be remembered for his passion for research development in Africa. As a
result, he showed great interest in the conference, which was exhibited through his physical presence
throughout the DII conference period. The DII Organising Committee would like to wish Engineer
Mushota success in his new role as the Ministry of Housing and Infrastructure. Further, we trust that he
will continue to champion infrastructure development and promote research in the Zambian construction
industry.
xxiv
DII – 2017
30 August - 1 September 2017, Livingstone,
Zambia
International Conference on Infrastructure

Development and Investment Strategies for Africa
29 August, 2017
To whom it may concern
PEER REVIEW PROCESS (PRP) CONFIRMATION
On behalf of the DII-2017 International Conference on Infrastructure Development and Investment

Strategies for Africa, we confirm that the manuscripts accepted for oral presentation and publication in
the Conference proceedings were blind peer-reviewed by two (2) or more technical specialists.
The reviewers were selected from the experts in the Scientific and Technical Review Committee (listed
below). To be eligible for inclusion, the papers, reviewed through a three-stage review process (abstract,
full paper and final paper) received a unanimous endorsement by all the reviewers that they had met all
the conditions for publication. All accepted manuscripts will be published via the conference
proceedings.
The conference proceedings with ISBN 978-0-620-74121-7 will be provided at the conference to be
held in Livingstone, Zambia, from 30 August - 1 September 2017.
Regards,
Dr Justus
Agumba DII-2017
PRP Manager
[email protected]
Conference website:
www.diiconference.org Email:
[email protected]
Development and Investment in

Infrastructure (DII)
xxv
CONFERENCE PROGRAMME
WEDNESDAY, AUGUST 30, 2017

14:30–16:50 Book Workshop
17:30–19:30 Conference Registration
Networking Opportunity & Welcome Cocktail
THURSDAY, AUGUST 31, 2017
07:00-08:00 Registration
08:30 Welcome Ceremony & Keynotes
Chair: Dr Erastus Mwanaumo – Assistant Dean Post Graduate, School of Engineering – UNZA
08:30-08:50 Welcome address – Prof Luke Mumba - Vice-Chancellor, University of Zambia
08:50-09:10 Welcome address – Prof Overson Shumba – Representative of the Vice – Chancellor, The Copperbelt University
09:10-09:40 Trade and regulation: The case of construction services in SADC - Mr Mathew Ngulube – Executive Director – National Council
for Construction
09:40-09:50 Tea break/Networking
09:50–10:20 Towards understanding of environmental impacts of mining on the Zambian Copperbelt and Kabwe - Prof Imasiku A. Nyambe
10:20-10:50 Conceptualising and mapping the contribution to the built environment body of knowledge (BEBOK) – Metaphors and
frameworks - Prof Nicholas Chileshe
Technical Sessions
11:20 – 13:00 Breakaway Session 1: Breakaway Session 2:
Theme: Legislative and Institutional Frameworks, and Theme: Integrative Infrastructure Planning and
Governance in Infrastructure Development; Management
Sustainability
Session chair: Dr Trynos Gumbo Session chair: Dr Victor Samwinga
11:20-11:40 Examining the impact of housing policy on urban sprawl in An investigation into areas of dissatisfaction in the South
Harare, Zimbabwe – Chipungu, L. et al. African residential sector post-construction: A case of
Gauteng Province – Tembo-Silungwe, C. et al.
11:40 - 12:00 Methods of assessing the performance of international joint An evaluation into improving facility management through the
ventures from developing countries’ perspective – Nani, G. et use of BIM in the Zambian construction industry – Mutwale,
al. J.
12:00–12:20 Obstacles to Risk Management Implementation in Construction Financial Management: A Study of Emerging Contractors’
Small and Medium Enterprises in South Africa – Renault, B. Practices – Aiyetan, A. O. et al.
Y. et al.
12:20-12:40 Investigating the impact of risk factors on project outcome of Assessing the application of strategic planning in
small and medium contractors in South Africa - Renault, B. improving competitiveness of small and medium scale
Y. et al. contractors in the Zambian construction industry –
Chiponde, D. B. et al.
12:40-13:00 Waste control and management system in Polokwane Assessing the effects of nodes, internodes and height position
Capricorn Municipality District of South Africa – on mechanical properties of bamboo as a sustainable structure
Mewomo, M. C. et al. material: A case of Ghana species – Akwada, D. R. et al.
13:00-13:50 Lunch Break
Keynotes
Chair: Dr Trynos Gumbo
14:00-14:20 Between a rock and a hard place: A study of megaprojects in developing economies – Prof Nuno Gil
14:20-14:40 Facilitating experimentation in infrastructure delivery through innovative “open” governance and “open” regulatory frameworks -
Prof Amira Osman
xxvi
Technical Sessions
14:40-16:40 Breakaway Session 3: Breakaway Session 4:
Theme: ICT and Innovation in Infrastructure Theme: Integrated Infrastructure Investment, Procurement
Development and Finance
Session chair: Dr Balimu Mwiya Session chair: Dr Ayodeji Aiyetan
14:40-15:00 Exploring the efficacy of innovative urban public transport Leveraging land-based resources and instruments for
infrastructural systems on economic transformation: Case of financing urban infrastructure development in Zambia: A
Gautrain and Are Yeng in the city of Tshwane – Gumbo, T. et case of Kitwe City, Zambia – Phiri, D. et al.
al.
15:00-15:20 Performance indicators for lean construction in South Evaluating financial risks in Zambia’s public private
Africa: Lessons from the Port Elizabeth Province – partnership projects: The case of the UNZA East Park Mall
Monyane, T. et al. and Kasumbalesa Border Post – Mukalula, P.
15:20–15:40 E-waste mining: An alternative to traditional mining in Unpacking the impact of public transport infrastructure
Africa: A review – Anane-Fenin, K. et al. investments on transformations in the city of
Johannesburg – Gumbo, T. et al.
15:40–16:00 Lightning protection and local earthing systems of Leveraging public private partnership as an effective tool
weighbridges infrastructure. A case study of Kafue for infrastructural development in emerging economies:
weighbridge - Namukolo, S. K. et al. An integrative review – Nnaji, C. et al.
16:00–16:20 Importance of transport infrastructure for socio-economic A theoretical assessment of the challenges of public private
development: A South African public opinion survey – partnership in improving infrastructure service delivery in
Gert, H. et al. Swaziland – Mashwama, N. X. et al.
19:00–22:30 Gala Dinner
Special Recognition – Engr. Charles Mushota, Permanent Secretary, Public Works
FRIDAY, SEPTEMBER 1, 2017
Keynotes
Chair: Dr Franco Muleya
08:30-09:00 Challenges and opportunities in infrastructure development in Africa: Case of the new Livingstone airport – Arch. Martin Kabwiri
09:00-09:30 Urban entrepreneurship - Prof Murray Metcalfe
Technical sessions
Breakaway Session 5: Breakaway Session 6:
Theme: Renewable Energy, Climate Change and Theme: Human factors in Infrastructure Development
Sustainability
Session chair: Dr Chabota Kaliba Session chair: Mr Danstan Chiponde
09:50-10:10 Centralised and decentralised electricity generation in User perspectives on transport infrastructure in
Zambia: Sustainable options in the context of climate Johannesburg: Challenges and opportunities for the public
disturbances – Ismail, M. et al. sector – Luke, R.
10:10-10:30 Biomass pellets for application as an alternative solid fuel in Early retirement of construction workers in South Africa: case
Southern Africa – Manyuchi, M. M. et al. of occupation permanent disability – Agumba, J. et al.
10:30-10:50 Recycling of fibre reinforced composites: A review of Developing Africa’s future Engineers – Ibrahim, N. et al.
current technologies – Anane-Fenin, K. et al.
10:50-11:10 Energy efficiency enhancement of off-grid photovoltaic The significance of workers’ involvement in cultivating a
(PV) power plants – Dlamini, S. B. et al. safety culture in Zambia’s electricity industry – Mambwe, M.
11:10-11:30 Protecting water pumps, mortuary and cold rooms A conceptual model for pricing health and safety on
equipment against power line disturbances – Namukolo, S. construction projects – Akawi, E. J. et al.
K. et al.
11:30-11:50 An audit of embedding sustainability elements in built The effectiveness of employee retention plan as a strategy for
environment education in Zambia – Zulu, S. et al. reducing labour turnover in the Zambian construction industry
– Chiponde, D. B. et al.
xxvii
11:50-12:50 Lunch Break
Theme: Integrative Infrastructure Planning, Management and Sustainability
Session chair: Dr Michael Mulenga
13:00 -13:20 Towards optimizing the use of quarry dust in concrete production in Zambia – Mulenga, M. M. et al.
13:20–13:40 A comparative study between ‘traditional and green’ lease provisions in tenanted office buildings: The case of Lusaka (CBD) –
Kaunda, B. S. et al.
13:40-14:00 A desk study of road infrastructure performance measurement criteria – Okoro, C. S. et al.
14:00-14:15 Effect of indoor environmental quality on the comfort of building occupants in Gauteng, South Africa – Aigbavboa, C. O. et al.
14:15-14:30 Awareness, attitudes and perception of green building practices and principles in the Zambian construction industry –
Sichali, M. et al.
14:30-14:45 Environmental influences on sustainability dimensions in the South African construction industry – Mewomo, M. C. et al.
14:45-15:00 Modelling the duration of procurement process of public private partnership projects in Nigeria – Baba, A. A. et al.
15:00-15:15 Commercialisation of bamboo in Ghana: How sustainable in infrastructure development - Akwada, D. R. et al.
15:15-15:30 Assessing the reliability of Botswana air transportation: Means for sustainable economic development – Iketleng, S. et al.
15:30-16:15 Report-back and way-forward discussion session – Conference End and Closing
16: 30 Sunset Cruise on the Mighty Zambezi River – (Optional event)
xxviii
TABLE OF CONTENTS
CONFERENCE SPONSORS…………………………………………………………………… iii
ENDORSEMENTS……………………………………………………………………………… iv
FOREWORD……………………………………………………………………………………. v
ACKNOWLEDGEMENT………………………………………………………………………. vi
DISCLAIMER…………………………………………………………………………………… vii
DECLARATION………………………………………………………………………………… viii
CONFERENCE COMMITTEES………………………………………………………………… ix
PEER REVIEW PROCESS……………………………………………………………………… xi
UNIVERSITY OF JOHANNESBURG………………………………………………………….. xii
COPPERBELT UNIVERSITY…………………………………………………………………... xiv
UNIVERSITY OF ZAMBIA…………………………………………………………………….. xvi
KEYNOTE SPEAKERS’ PROFILES…………………………………………………………… xviii
TRIBUTE TO ENGINEER CHARLES MUSHOTA…………………………………………… xxiv
PEER REVIEW PROCESS CONFIRMATION…………………………………………………. xxv
CONFERENCE PROGRAMME………………………………………………………………… xxvi
TABLE OF CONTENTS………………………………………………………………………… xxix
KEYNOTE ABSTRACTS……………………………………………………………………….. 1
Towards Understanding of Environmental Impacts of Mining on the Copperbelt and Kabwe,
Zambia
Prof Imasiku Anayawa Nyambe..................................................................................................... 2
Between a Rock and a Hard Place: A Study of Megaprojects in Developing Economies
Prof Nuno Gil.……………………………………………………………………………………. 4
Facilitating Experimentation in Infrastructure Delivery through Innovative “Open” Governance

and “Open” Regulatory Frameworks
Prof Amira Osman…………………………………………………………………………………………. 5
Conceptualising and Mapping the Contribution to the Built Environment Body of Knowledge
(BEBOK) – Metaphors and Frameworks
Prof Nicholas Chileshe .………………………………………………………………………… 7
SCIENTIFIC PAPERS………………………………………………………………………….. 8
LEGISLATIVE AND INSTITUTIONAL FRAMEWORKS; AND GOVERNANCE IN 9

INFRASTRUTCUE DEVELOPMENT…………………………………………………………
Examining the impact of housing policy on urban sprawl in Harare – Zimbabwe

Lovemore Chipungu and Hangwelani Hope Magidimisha…………………………………………. 10
A factorial analysis of international construction joint venture performance measures: A case of

Ghana
Gabriel Nani, Mershack Opoku Tetteh, James Cofie Danku and Samuel Twum-Ampofo……. 23
Assessing the effects of nodes, internodes and height position on mechanical properties of
bamboo as a sustainable structure material: A case of Ghana species
Damenortey R. Akwada and Esther T. Akinlabi……………………………………………………… 33
xxix
Assessing the reliability of Botswana air transportation: Means for sustainable economic
development
Sematho Iketleng and Adewole S. Oladele……………………………………………………………. 44
INTEGRATIVE INFRASTRUCTURE PLANNING AND MANAGEMENT…….................... 57
An Investigation into Areas of Dissatisfaction in the South African Residential Sector Post-
Construction: A Case of Gauteng Province
Chipozya Kosta Tembo-Silungwe, Richard Cross, Mulla Muhammed and Nyalunga Sikulile.. 58
Effect of Indoor Environmental Quality (IEQ) on the Comfort of Building Occupants in
Gauteng, South Africa
Clinton Aigbavboa and Oluwaseun Dosumu ………………………………………………….. 68
An Evaluation into Improving Facility Management through the Use of Building Information
Modeling in the Zambian Construction Industry
Josephine Mutwale Ziko, Lawrence Mutale and Major Moyo…………………………………….. 75
Financial Management: A Study of Emerging Contractors’ Practices
Ayodeji Olatunji Aiyetan, and Andisa A. Merana…………………………………………………… 83
Assessing the Application of Strategic Planning in Improving Competitiveness of Small and

Medium Scale Contractors the Zambian Construction Industry
Danstan Bwalya Chiponde, Chipozya Kosta Tembo, Chimuka Milandu, Lawrence Punda
Mutale and Luckson Mitembo……………………………………………………………………
94
Obstacles to Risk Management Implementation in Construction Small and Medium Enterprises
in South African
Berenger Y. Renault, Justus N. Agumba and Nazeem Ansary……………………………………. 104
Investigating the Impact of Risk Factors on Project outcome of Small and Medium Contractors
in South Africa
Berenger Y. Renault, Justus N. Agumba and Nazeem Ansary…………………………………… 116
ICT AND INNOVATION IN INFRASTRUCTURE DEVELOPMENT…………………….. 129
Exploring the Efficacy of Innovative Urban Public Transport Infrastructural Systems on

Economic Transformation: Case of Gautrain and Are Yeng in the City of Tshwane
Bongumusa Ndwandwe and Trynos Gumbo………………………………………………………….
130
Performance Indicators for Lean Construction in South Africa: Lessons from the Port Elizabeth
province
Thabiso Monyane, Bankole Awuzie and Fidelis Emuze……………………………………………. 147
E-Waste Mining, an Alternative to Traditional Mining in Africa: A Review
Kwame Anane-Fenin and Esther T. Akinlabi………………………………………………………… 157
Lightning Protection and Local Earthing Systems of Weighbridges Infrastructure: A Case Study
of Kafue Weighbridge
Sebastian Namukolo, Christopher Kapasa, Douglas Tutu and Mundia Muya…………………. 168
INTEGRATED INFRASTRUCTURE INVESTMENT, PROCUREMENT AND

FINANCE…………………………………………………………………………… 177
Leveraging Land Based Resources and Instruments for financing Urban Infrastructure
Development: A Case of Kitwe City, Zambia
Daniel Apton Phiri and Busiku Sharlyn Kaunda……………………………………………………. 178
xxx
Unpacking the impact of public transport infrastructure investments on transformations in the
City of Johannesburg
Trynos Gumbo and Mangakane Retsebile Moswane………………………………………………… 189
Leveraging Public-Private Partnership as an Effective Tool for Infrastructural Development in

Emerging Economies: An Integrative Review
Chukwuma Nnaji and Chioma Okoro…………………………………………………………………. 199
Evaluating Financial Risks in Zambia’s Public Private Partnership Projects – The Case of the
UNZA East Park Mall and Kasumbalesa Border Post
Peter Mukalula and Mundia Muya…………………………………………………………………….. 210
Modelling the Duration of Procurement Process of Public-Private Partnership Projects in
Nigeria 219
Abdullahi A. Baba, Abdullahi Umar and Mustapha Yakubu……………………………………….
A Theoretical Assessment of the Challenges of Public Private Partnership in Improving
Infrastructure Service Delivery in Swaziland
Nokulunga X. Mashwama, Didibhuku W. Thwala, Clinton O. Aigbavboa……………………… 229
Centralized vs. Decentralized Electricity Generation in Zambia: Sustainable Options in the

Context of Climate Disturbances
Malik Ismail, Madeleine McPherson and Murray R. Metcalfe……………………………………. 240
Biomass Pellets for Application as an Alternative Solid Fuel in Southern Africa: A Review
Musaida Mercy Manyuchi, Charles Mbohwa and Edison Muzenda……………………………… 249
Recycling of Fibre Reinforced Composites: A Review of Current Technologies
Kwame Anane-Fenin and Esther T. Akinlabi………………………………………………………… 257
Energy Efficiency Enhancement of Off-grid Photovoltaic Power Plant

Sibusiso B. Dlamini, Emmanuel Bakaya- Kyahurwa and M. Mashinini………………………… 268
Protecting Water Delivery Infrastructure from Power Supply Disturbances Damage in Lusaka
Urban
Sebastian K. Namukolo and Elias J. Zimba………………………………………………………….. 277
An Audit of Embedding Sustainability Elements in Built Environment Education in Zambia
Sambo Zulu and Franco Muleya……………………………………………………………………….. 286
Commercialisation of Bamboo in Ghana: How Sustainable in Infrastructure Development
Damenortey R. Akwada and Esther T. Akinlabi……………………………………………………… 296
User Perspectives on Transport Infrastructure in Johannesburg: Challenges and Opportunities
for the Public Sector
Rose Luke……………………………………………………………………………………………………
307
Early Retirement of Construction Workers in South Africa: Case of Occupation Permanent
Disability
Justus N. Agumba and Innocent Musonda…………………………………………………………... 315
Developing Africa’s Future City Engineers

Nadine Ibrahim, Chibulu Luo and Murray Metcalfe……………………………………………….. 325
The Significance of Workers’ Involvement in Cultivating a Safety Culture in Zambia’s

Electricity Industry
Mwewa Mambwe and Erastus Mwanaumo……………………………………………………………. 335
xxxi
A Conceptual Model for Pricing Health and Safety on Construction Projects
Edzua Jirel Akawi, Innocent Musonda and Nazeem Ansary………………………………………. 344
Effectiveness of Employee Retention Plan as a Strategy for reducing Labour Turnover in the
Zambian Construction Industry
Danstan Bwalya Chiponde, Chipozya Kosta Tembo, Samuel Mthembu and Wisdom
Chisefu………………………………………………………………………………………………………. 353
Green Building Practices and Principles in the Zambian Construction Industry
Mutinta Sichali, Ismo Heimonen and Luke Banda………………………………………………….. 363
Importance of Transport Infrastructure for Socio-Economic Development: A South African

Public Opinion Survey
Gert Heyns and Rose Luke……………………………………………………………………………….. 374
Environmental Influences on Sustainability Dimensions in the South African Construction

Industry
Modupe Cecilia Mewomo, Clinton Ohis Aigbavboa and Thobakgale Machela Esther………... 385
Towards Optimising the use of Quarry Dust in Concrete Production in Zambia

Michael N. Mulenga, Joseph Shikabonga, Kaluba Chisanga, Charles Silungwe and Mulyata
Hamaundu…………………………………………………………………………………………………. 394
Waste Control and Management System in Polokwane Capricorn Municipality District of South
Africa
Modupe Cecilia Mewomo, Clinton Ohis Aigbavboa and Molebogeng Rozyne Maja……………. 403
A desk study of road infrastructure performance measurement criteria

Chioma Okoro, Innocent Musonda and Justus Agumba………………………………………........ 411
A Comparative Study between ‘Traditional and Green’ Lease Provisions in Tenanted Office
Buildings: The Case of Lusaka
Busiku Sharlyn Kaunda and Ian Azele Chibale………………………………………………………. 420
xxxii
Keynote Abstracts
1
DII-2017-067
Towards Understanding of Environmental Impacts of

Mining on the Copperbelt and Kabwe, Zambia
Prof Imasiku Anayawa Nyambe1
Abstract
Mining has been known to impact the socio-economic development of many countries. For example,
in Zambia, large-scale copper-cobalt mining (developed since 1930s) has supported the social and
economic development of the country accounting for about 93% of all Zambia's foreign exchange
earnings in 1991, and up to 80% in 2016 with a current GDP of about 15%. Copper production
surpassed 600,000 tonnes between 1964 and 1980, and is currently heading towards 800,000 tonnes. A
century of mining these huge copper tonnages meant a production of more than double tonnages of
wastes consisting of waste in waste rock (77 million tonnes), overburden dumps (1,899 million tonnes),
tailing dams (791 million tonnes), and slag dumps (40 million tonnes). As at 2005, a total of 216,257 ha
of arable land was covered by overburden, slag, tailings and waste rock dumps. These indeed together
with the processing facilities (crushers, concentrators, smelters and refineries) have environmentally
impacted negatively on the surface cover, and on a broad range of effects on the environment and the
ecosystem (terrestrial systems, river drainage patterns & human health). These result from tailings
(slimes), slags and minor amounts of toxic hazardous chemical wastes. The oxidation of the sulphides
from chemical wastes is the source of chemical pollution to water resource. The tailing impoundments
provide dust fallout on dry sections (“beaches”) affecting plant life, whereas their dams leak,
discharging a pulp rich in iron with concentrations varying Cu between 800 and 2 500 ppm; Co between
780 and 1 900 ppm; As 2.7 up to 350 ppm, and Pb 14 and 270 ppm.1
The large-scale mining had been done with no regard to the impact on environment until in the late
1980s. During the 1980s, data on surveys of Environmental-Geochemical (E-G) on the Zambian
Copperbelt and Kabwe, were non-existent. A study was therefore commissioned to understand how
mining activities have impacted the environment and the ecosystem health from 2001-2008 in form of
an environmental- geochemical survey based on a total of 1575 samples that included top soils,
subsurface soils, agricultural plants, stream sediments, surface and ground waters, and 60 special
samples (slag, tailings, ochres). The results led to a compilation of an E-G atlas and an assessment of
the extent of industrial pollution. The results of the study revealed that air, soils, agricultural products
and surface waters were affected at various extents by gaseous emissions, dust fall-out from smelters,
dry parts of tailings ponds, crushers and mining operations. For example, the concentrations of copper
in cassava leaves growing on contaminated soils reach as much as 612 mg kg-1 (total dry weight [dw]),
whereas in leaves of cassava growing on uncontaminated soils are much lower (up to 252 mg kg-1 Cu
dw). Concentration of copper in cassava tubers was lower (4.9 kg-1 and 17.4 kg-1dw, respectively) when
compared to leaves. Concentrations of Cu, Pb and As exceeded the maximum tolerance limits
1
University of Zambia IWRM Centre - Department of Geology, School of Mines, University of Zambia, P O Box 32379,
Lusaka, Zambia;[email protected]
2
established by the Joint FAO/WHO Expert Committee on Food Additives (JECFA), especially around
the Smelters. Health risk associated with consumption of contaminated vegetables can substantially be
reduced by careful washing.
Similar sampling methods were undertaken in Kabwe. Areas surrounding old zinc and lead mines
showed significant increments of copper (3500ppm), cobalt (3500pm) and cadmium (200ppm) near the
old mine when compared to samples collected elsewhere where they were less than 500ppm for Cu and
Co and 20ppm for cadmium. The highest concentrations of lead and zinc were above 10,000ppm. Lead
in the stream sediments was 553.87ppm and that of zinc was 3343.5ppm. In surface water, lead and
zinc were observed to be between 500,000 ppb to around 2,000,000 ppb in the mine area. Sulphur,
chloride and phosphorous all increased from concentrations of below 10ppm to concentrations of
between 4,000ppm and 5,000ppm along the mining area. Vegetation samples showed increased levels
of metals such as zinc (about 8,000 ppm), lead and mercury (around 2000 ppb). For instance, the
concentration of zinc, lead and copper in cassava leaves at one locality near the old mine were 273.6
ppm, 34.40 ppm, and 14.40ppm respectively whereas that of the rhizosphere soil were 102.3 ppm, 86.31
ppm, and 12.88 ppm respectively.
To assess the impact of mining and processing of ores on human health, collaboration and cooperation
with medical staff is highly desirable in the Copperbelt area, whereas in Kabwe this started in the 2000s.
For example, the Kabwe Scoping and Design Study showed high Blood Lead Levels (BLL) above
WHO standards (<10 µg/dl), in population living near the former mining area. The results show a
significant impact on the local population in Kabwe.
In conclusion, based on the results of this research on the Copperbelt and Kabwe, more efficient
environmental impact assessment and reclamation of tailing ponds, spoil banks and waste repositories
can be carried out by various agencies or companies, enabling them to deal immediately with the most
critical issues of land and environmental management. The results are therefore recommended for use
by government administrative units to up-grade their efforts in coordinating environmental
management, promoting public awareness, and in minimizing the environmental deterioration in areas
affected by mining and processing of ores. Local authorities such as district and city municipal councils
in the Copperbelt and Kabwe can use the results as a basis for improved decision-making at all levels
beginning with land allocation in urban planning to sustainable development in the exploitation of
mineral and raw material resources.
Keywords: environmental-geochemical atlas, industrial pollution, mining, urban planning
3
DII-2017-68
Between a Rock and a Hard Place: A Study of

Megaprojects in Developing Economies
Prof Nuno Gil1
Abstract
This study aims to further our understanding of the relationship between the development process and
performance in developments of complex sociotechnical systems in contexts of weak institutions and
scarce resources. We ground our research in a sample of capital-intensive infrastructure projects set up
to address pressing needs in developing economies. Our analysis reveals two distinct approaches to
structure the development process. In the sequential approach, the implementation stage is only allowed
to start after planning is substantially completed. Hence, project suppliers are only procured after most
critical resources are secured from independent organisational actors. In the overlapped approach, the
implementation and planning stages overlap significantly after rushing buyer-supplier agreements. We
find that a sequential approach attenuates uncertainty in requirements during implementation, but leads
to development timescales that are wholly inadequate to the problem’s urgency. In turn, the overlapped
approach puts excessive faith on the ability to resolve bottlenecks through improvisation, problem-
solving ingenuity, and flexibility, and thus also fails to speed up the development life cycle. We discuss
the implications to literature and policy of this choice among these two unsatisfactory alternatives.
Keywords: development, megaprojects, performance, project process
1Manchester Business School, Developing,[email protected]
4
DII-2017-69
Facilitating Experimentation in Infrastructure Delivery

through Innovative “Open” Governance and “Open”
Regulatory Frameworks
Prof Amira Osman1
Abstract
Infrastructure provision is considered a crucial driver for economic development, job creation and
poverty reduction. The delivery of infrastructure through effective implementation mechanisms that
encourage public/private partnerships and facilitate ease of management and maintenance is considered
crucial for a country’s development. This demands a high level of innovation, efficient mechanisms and
impact through an appropriate scale of delivery. However, the built environment professions tend to be
conservative and do not easily accept innovation. The stakes are high if “innovations” in process or
technology fail, thus the reluctance to adopt new ways of “doing”. This must change if we are to address
infrastructure demands in an inclusive and representative process.
The South African National Development Plan (NDP Vision 2030) focuses on the demographic shifts
that will boost both productivity and consumption. This situation is similar throughout the continent;
by 2030 Africa will have 760 million urban residents, increasing to 1.2 billion by 2050 according to the
African Economic Outlook 2016. The infrastructure gaps that are widening are presented as both a
challenge and a great opportunity for investment and large-scale developments; unlocking
infrastructure backlogs and managing integrated supply chains can transform the economic performance
of a country as well as achieve more equitable development by ensuring affordability and accessibility.
South Africa and the continent needs resources and skills to deliver the massive infrastructure needs –
however, South Africa and the continent also need forms of governance and regulatory frameworks that
allow for experimentation and testing out of alternative forms of delivery.
These new forms of governance and frameworks will allow for efficient construction of infrastructure,
the development of networks of suppliers to those industries and the entities engaged in operating and
maintaining this new infrastructure – elements that are called for in the NDP Vision 2030. In South
Africa, the state has committed substantial funding to public infrastructure to address backlogs. In
Gauteng alone, during 2013-2016, an investment of R30 billion was made in infrastructure with R42
billion being planned for the next 3 years. This focus has led the Gauteng department of infrastructure
development (GDID) to initiate the Lutsinga Infrastructure House, described as a “project nerve centre”
which “uses technology to track developments in the planning, design and construction” of all
infrastructure projects. This facility demonstrates that while a national infrastructure plan needs to be
centrally driven and monitored, this also needs to be aligned with localized project management
systems. If this operates efficiently, and if its mandate is extended, it will allow for the creation of
conditions for embracing smaller-scale, dispersed
1 University of Johannesburg, [email protected]
5
projects and project packages that are more accessible to smaller firms and new entrants. A conventional
understanding of infrastructure makes reference to public buildings and amenities, transport structures
and roads, service lines for water, sanitation and electricity, etc. – yet the definition can be broadened.
The NDP differentiates between hard infrastructure and soft infrastructure. One can also differentiate
between the hardware and the software of the environment by bringing “people” into the debate around
“infrastructure”. This bringing together of people and infrastructure can best be demonstrated through
Open Building thinking and practice. An “open” approach to governance and “open” regulatory
frameworks allows smaller projects to be aligned with larger visions, facilitates coordination, involves
more people and reduces conflict.
Open Building is presented as an approach to the delivery of infrastructure at city, neighbourhood and
building level. The need for viewing the built environment at different levels, requiring careful
management of the relationships between the agents that operate at those levels, as well as the need to
“disentangle” those levels to allow for a degree of permanence without restricting the necessity for
constant transformation, is key to understanding Open Building. This “open” approach allows for
distributed decision making in the manner in which the built environment is designed, funded and
delivered. This “open” approach to the built environment allows for the acknowledgement of the co-
existence of formal and informal systems and can address the disparity in different parts of a country and
within cities. It offers a re-think on infrastructure finance and procurement strategies. The introduction
of the concept of ‘base buildings’ could be considered a part of neighbourhood infrastructure – in the
same way that roads and service lines are considered a part of the neighbourhood infrastructure and are
accessible and used by all, irrespective of income level or social status.
This “open” approach to governance and delivery will be presented in the light of the South African
NDP, innovations such as the Lutsinga example in Gauteng and reflections on applications in the rest
of Africa.
Keywords: base buildings, Gauteng, governance, infrastructure, innovation, open building, regulatory
frameworks, South Africa
6
DII-2017-70
Conceptualising and Mapping the Contribution to the

Built Environment Body of Knowledge (BEBOK) –
Metaphors and Frameworks
Prof Nicholas Chileshe1
Abstract
The ultimate test of any research whether disseminated as a conference or journal paper lies in the
contributions to knowledge and the applicability of its findings. However, within the Built Environment
(BE) related disciplines, little research has been conducted in demonstrating the necessary process that
needs to be undertaken towards achieving the stated contribution. Consequently, the motivation of this
study emanates from this background. The aims of the paper are twofold. Firstly, it is to highlight the
general areas of what constitutes the potential areas for research within the various disciplines of the
Built Environment (BE). Secondly, it is about matching the specific criteria of contribution to
knowledge with illustrative examples that explore the application and theory development. By using
the conference theme of ‘Infrastructure and sustainable development – Impact of regulatory and
institutional frameworks’; selected exemplars from the Built Environment; the discipline of
Construction; Project Management and undertaken research, an illustration of contributions is made.
This keynote concludes with the assertion that the setting of future research agenda within the discipline
of Construction and Project Management; and the overall Built Environment field, could be enhanced
through the application of the proposed framework with usage of simple metaphors of knowledge. This
paper can assist students in their understanding of the issues to be considered and which methodological
approaches should be adopted when undertaking dissertations. It can also assist both academics and
practitioners in clarifying the contribution made to knowledge in the disciplines of Construction Project
Management (CPM) in the Built Environment fields by proposing an illustrative ‘BEBOK framework’.
Keywords: built environment, construction and project management, knowledge, infrastructure

development, methodology, research supervision
1
Associate Professor in Construction and Project Management | Research Education Portfolio Leader (City East Campus);
School of Natural and Built Environments | University of South Australia | City East Campus, BJ3-22 | GPO Box 2471,
Adelaide, SA 5001; Ph: +61 (0)8 8302 1854; Email: [email protected]
7
Scientific Papers
8
Legislative and Institutional Frameworks
and Governance in Infrastructure
Development
9
DII-2017-054
Examining the Impact of Housing Policy on Urban

Sprawl in Harare – Zimbabwe
Lovemore Chipungu1, Hangwelani Hope Magidimisha2

Abstract
At the centre of some of the competing challenges city managers wrestle with in most developing
countries is urban sprawl. Traditionally, the relative attractiveness of opportunities that the city offers
have been associated with pull factors that have induced rural-urban migration. The situation has been
exacerbated by the right to the city especially after the fall of colonial rule whose influx laws hindered
free movements among the indigenous people. Indeed, this has led to increased urbanisation with most
cities spatially sprawling beyond initially demarcated municipal boundaries. But what is observable in
this spatial growth is housing development which has emerged as the major driver of urban
development. This is not a new phenomenon since housing is one of the major spatial features that
increases the city’s footprint. It is from this perspective that this paper interrogates the development of
housing in Harare in the aftermath of the fast track land reform programme of 2000 in a bid to assess
its impact on urban sprawl. While acknowledging that the large-scale acquisition of land significantly
contributed to massive housing developments, the authors also argue that contemporary housing
policies and housing production systems have aggravated this situation by failing to engage sustainable
policies. This emerging trend, is analysed through the lens of the ecological theory of suburbanisation
which views residential spatial development as an outcome of invasion and succession of space by
different competing income groups. Information used in this paper was collected from four low income
housing schemes that emerged at the peak of the fast track land reform programme in Harare. While
there are a complexity of forces at work, the authors conclude by recommending that the current
situation requires a holistic approach that addresses structural issues embedded in the socio-economic
and political realm of the country.
Keywords: housing policy, housing production systems, suburbanization, sustainability, urban sprawl
2
1. Introduction
While urban sprawl is a common phenomenon in most cities, the factors that contribute to its
development and consequent results can be well understood from a contextual perspective. But even
within any given context, prevailing factors that generate sprawl differ significantly in their impact. The
complexity of forces that impinge on the urban environment require a holistic approach since they are
couched in politics, economics and cultural dimensions. This paper revisits frontiers of urban sprawl
and singles out housing policies as key contributors to urban sprawl in the context of suburbanisation.
But it also argues that housing policies are part of an intricate web of systems that facilitate the
production of housing and therefore, they accordingly respond to the wider context of the socio-political
1Senior Lecturer, University of Kwazulu- Natal, Howard College, Durban 4001; [email protected]
2Senior Lecturer, University of Kwazulu- Natal, Howard College, Durban 4001; [email protected]
10
and economical realm. The case of Harare, (in Zimbabwe), used by the author represents such a
complicated web which is underpinned by the nature of housing policies, housing production systems,
the Fast Track Land Reform Programme (FTLRP) and an under-performing economy. It is from such
a status quo that urban sprawl emerged as a response to the interplay of these factors.
The aim of this paper is to analyse the impact of housing policies on urban sprawl in Harare with a
focus on low-income housing. In order to achieve this mandate, the author used both secondary and
primary data sources. Background information on this paper in the literature review and some parts of
the data presented was obtained from documented data obtained from government sources, the internet
and journal articles. On the other hand, empirical data was obtained from purposely selected four
housing schemes around Harare viz - Nehanda Housing Scheme (NHS); Dzivarasekwa Extension
Housing Scheme (DEHS); Ushewokunze Housing Scheme (UHS) and Harare North Housing Scheme
(HNHS. A number of tools were used to collect data and these include household surveys, observations,
and interviews with key informants from housing cooperatives, the municipality and the central
government. For household surveys, a sample size of 223 respondents was randomly chosen and
interviewed in all residential schemes. In addition, focus group discussions were also held in the selected
housing schemes.
2. Framework for Analysis

The spreading of the city outward largely driven by residential development is best explained by the
natural ecological theory of suburbanisation. Mieszkowski and Mills (1993), attest to the view that in
this theory, residential development will always develop outwards when the central business district
(CBD) is the centre of employment. Development, according to this theory starts at the centre where
housing will initially congregate around in proximity to employment opportunities. But as land in the
inner city is consumed, housing developments will move to open tracts of land in the suburbs.
Households with higher income will migrate to these areas where plots are larger and housing units
more modern. The low income groups, on the other hand will filter into the inner city to occupy smaller
housing units. Mieszkowski and Mills (1993), observed that this invasion-succession process in the
housing market leads to income stratified neighbourhoods as affluent households migrate to the
periphery of the city and the lower income groups move in the inner city with the middle income groups
being in the inner suburbs which are denser.
However, in reality, this is not a linear and simplistic process since other forces come into play.
Ecological processes are no longer mere natural processes since institutional factors (such as those
emanating from politics and policy) equally influence the behaviour of processes in the urban
environment. It is the complexity of these forces which in turn makes urban sprawl a contested concept.
In essence, urban sprawl is a multifaceted concept associated with unplanned and uncontrolled
expansion of urban development into adjoining areas on the periphery of the city. Brody, (2013),
associates sprawl with low density and haphazard development spiralling outwards from urban centres.
While this definition can be taken at face-value, Gillham (2007) contend that despite powerful imagery
and deepening national concern about sprawl, the term itself has proved to be dodgy and elusive with
no succinct definition that is acceptable universally. Instead researchers converge on the understanding
and acceptance of several common characteristics pervading the literature which in turn helps to
understand and even measure its occurrence. These revolve around scattered (leapfrog) development,
commercial strip development, low density, large expanses of single use development, poor
accessibility and lack of functional open space.
11
However, it has to be noted that that urbanisation by nature is a function of human concentration which
predominantly results in the spatial development of urban areas. It is this thin line of interface between
these two concepts (sprawl and urbanisation) that have prompted the use of these terms interchangeably.
In this regard, suburbs emerge as one of the frontiers of urban development and therefore urban sprawl.
There are a number of compelling arguments that put suburbs in the fore-front of this phenomenon. The
advent of the modernist era at the dawn of the 21st century which in essence was a response to the
emergence of industrial cities saw the reorganisation of urban spatial space. In this era, as Larice and
MacDonald (2007:301), observe, suburbs emerged as “less populated outlying areas that served as
bedroom communities for the big cities.” Suburban developments are further interpreted by Pacione
(2001) who attests that the process of development responds to a variety of forces which range from
natural ecological factors through socio-political strategies to micro-economic policy tools.
Putting housing at the fore-front of urban sprawl requires an insight into its driving forces. Gillham
(2007) observes that urban sprawl as a function of housing is fuelled by four key ingredients viz: land
ownership, transportation, telecommunication and technology and regulations and standards. The issue
of land is central to housing development. Gillham (2007), emphasising the importance of land argues
that the American Dream today is to own one’s own home on one’s own piece of land. In this regard,
sprawl is a function of private land ownership and the rights attendant to its ownership. Jackson (1985)
commenting on private land ownership, observed that principles surrounding fee-simple tenure enable
households to buy, sell, rent and bequeath land with great ease and minimum government interference.
In essence, private land ownership gives land value and marketability which is achieved through
subdivision. However, this pattern of sprawl can partly be attributed to the abundance of relatively low
cost of land which is necessary to allow dispersed housing developments within commuting distance of
work places.
But the abundance of cheap land on its own does not guarantee the spread of housing development –
instead, this phenomenon is supported by a network of infrastructural systems such as transportation,
electricity, water and telecommunication. Russell (2000), commenting on the importance of road
networks in sprawl summarises this argument by noting that what unites suburbia is not shared public
space, or a coherent architectural vision, but a vast civil-engineered network of roads. Critical in this
regard is the modal choice available coupled with associated costs and travelling time which allows
developers and households to weigh their decisions. Therefore, accessibility to affordable land together
with the presence of infrastructural systems such as road networks enhance housing development.
Any urban development such as housing operates through rules and regulations defined by the
ideological stance of the state. While these laws are fundamentally created by the state, they are
operationalised through different structures of the government at the national, regional, municipal and
local levels. Planning law, to a large extent, is instrumental in imposing regulations and standards that
govern the built environment – housing included. Commenting on the appropriateness of planning law,
McAuslan (1980:296) argues that law exists to advance the public interest, if necessary, against private
property. However, he also acknowledges the influence of the traditional common law perception where
the existence of the law is meant to protect private property and its institutions. It is this conservative
approach that defined the nature of housing development and therefore urban sprawl in most colonial
cities since the right to the city was largely limited to the settler community and therefore the public
interest was also couched around this privileged class. While acknowledging the universal importance
of urban regulations and their impact on development, it should also be observed that there is
subjectivity in their application and administration largely influenced by the prevailing ideology of the
time. Wekwete (1995:14, quoting McAuslan, 1980), summarises this argument by observing that:
12
The use of law, of certain legal techniques, the decision to subject certain activities to a regime of legal
control while leaving others free to such control, the implementation of law, the legal culture of society,
are all value-laden, part of the social struggles within the society.
However, despite these contradictions, planning laws, in conjunction with other rules and regulations
provide the technical basis for managing the use of land and other associated resources in the built
environment. These regulations and standards, according to Larice and Macdonald (2007) have since
been transformed into a “genetic code” that govern housing development but by default, has also
become the major drivers of urban sprawl. The emphasis in this regard is on their undebatable value
they bring to the built environment. Zoning and building codes for instance are necessary and effective
in protecting public health and property values. They are geared towards establishing and creating the
rationale and framework for both central and local governments to manage and promote the public
interest in the development process.
But also critical to this discourse is the understanding that suburbanisation is a response to housing
delivery systems engaged in the housing development process. Conceptually, authorities such as
Keivani, Abiko and Werna (2004) observe that modes of housing production fall within the bi-polar
structure underlined by conventional and unconventional production systems. While not undermining
forces prevalent in unconventional systems, it can be argued that urban sprawl, to a large extent, has
been driven by conventional systems which largely operate through private, cooperative and public
housing delivery systems. These are normally in line with government regulations and are therefore
used by most governments to achieve developmental goals especially in housing. However, their
success, especially in developing countries, depends on government management, support and the
ability of developers to mobilise resources. Pacione (2001), commenting on the use of the self-help
strategy used in housing cooperatives and private housing schemes, argues that these strategies largely
responded to the sale of public land by the state to developers on condition that it will be used to provide
low-cost starter homes or plots which households can purchase and organise construction. Contrary to
the theoretical perceptions painted above and European experiences, such emerging residential areas in
most developing countries, are not only exclusive to high class suburban areas, but are also common in
low-income residential areas. This paradox is further complicated by poor land management
mechanisms that have also led to unconventional housing production systems mushrooming out of
assumed “suburban” areas on the periphery of the city. Hence the interplay of these factors also find
meaning in the Zimbabwean context discussed below.
3. Housing in Zimbabwe
This section provides a brief l overview of housing in Zimbabwe before analysing contemporary
housing in the post-independence period.
3.1 Housing policy in post-colonial Zimbabwe

At independence in 1980, the government inherited a housing backlog which it is still battling to bring
under control. Mafico, (1991) noted that the government recognised the need to provide adequate and
decent housing conditions for its population. Hence this became a basic need and an essential element
in improving the social welfare of the people. Backed by its socialist principles, the government outlined
its first low-income housing policies and strategies in the First Transitional National Development Plan
of 1982 and later supported by other policies. The policy framework for housing delivery in Zimbabwe
anchors on 4 key tenets – viz being homeownership, minimum housing standards, self-reliance and cost
effectiveness, public and private sector partnership (Table 1). The interplay of these policy instruments
13
involve a number of deliverables but with the sole mandate of enhancing housing provision as briefly
summarised in Table 2. To enable efficient housing delivery, this housing policy framework is
supported by a number of strategies among which is aided self-help, building brigades and housing
cooperatives.
Table 1: Key features of housing policy in Zimbabwe

Policy instruments Details
Home Ownership New housing schemes are based on home-ownership.
Minimum Housing Clear policy stipulation of the type of materials to be used for housing, minimum size of
Standards plots, type of infrastructure, plinth area and habitable rooms e.g. 150m2 for a plot.
Self-reliance and This is a multi-pronged instrument driven by self-help principles with both beneficiaries and
Cost-effectiveness government being involved in the housing production process.
Private and Public Sector This was initially driven by donor funding but which later attracted other stakeholders such
Partnerships as employers and financial institutions.
Sources: Author from various sources (2013)
Table 2: Housing strategies in Zimbabwe

Strategy Description
Aided self-help Local authorities are to provide serviced stands, technical assistance and affordable loans
to beneficiaries who would build their houses using their own additional resources through
sites and services.
Building brigades These were to be formed by local authorities in order to manufacture building materials,
construct houses, renovate and upgrade houses. However, they are not very active
nowadays.
Cooperatives These are formed by groups of beneficiaries who pool together resources in order to build
their houses more cheaply with local authorities providing technical, administrative,
financial and training assistance.
Source: Author from various sources (2013)
In addition, housing implementation in Zimbabwe is also governed by a legislative framework which

is largely driven by the Regional, Town and Country Planning Act (Chapter 29:12 of 1996) and
supported by other key pieces of legislation (such as the Urban Councils Act – 1996, Deeds Registries
Act - 1995 and the Land Survey Act – 1992). Together, these shape the procedural requirements of the
housing development process. However, the interplay of housing policy and housing strategies, to a
large extend, has also contributed to the current spatial expansion of the urban areas beyond their
traditional boundaries.
Above all, since 2000, two key housing policies were enacted to guide housing development in the
country. Of significance is the National Housing Delivery Programme (of 2004) that was crafted to
operationalize the National Housing policy of 2000. However, it was a short-term intervention
programme which was supposed to run for four years from 2004 to 2008 with specific quantitative
targets. Among the expected deliverables of this programme include the acquisition of 310 406.6
hectares of land, meant to provide 1 250 000 houses with an annual delivery target of 250 000 stand per
year (GRZ 2005. The coming on board of the revised National Housing Policy of 2013 was meant to
buttress this policy but also with a focus on decongesting cities through mixed use spatial designs on
the periphery of cities. This was further supported by the revision of housing standards in the form of a
policy brief enshrined in Circular No. 70 of 2004 (from the Ministry of Local Government and Public
Works) which set new national housing standards by stipulating minimum requirements for planning,
house construction and infrastructure. Above all, policy intervention measures also came from other
government sectors such as the Short Term Economic Recovery Programme (STERP) from the
14
Ministry of Finance which emphasized on more land acquisition and the use of housing cooperatives
and associations in housing production (GRZ, 2009). It is from this institutional perspective that
emerging low income housing in Harare can be analysed.
4. Emerging Low Income Housing in Harare

The advent of the FTLRP in 2000 provided an opportunity for the acquisition of land for housing by
the urban poor in most urban areas of Zimbabwe. Harare in this regard, was not an exception. The
chaotic nature of the programme saw the invasion of land in all three housing schemes with the
exception of DEHS. It is interesting to note that at the peak of the FTLRP, the identification and
acquisition of such land was not governed by any statutory instrument other than the availability of
vacant land for occupation. According to the household surveys, 70% of the respondents indicated the
availability of vacant land as the major factor that attracted them in all areas. Other factors, such as
availability of infrastructure and employment opportunities were never considered as shown by the low
level of response registered during household surveys.
For the purpose of this study, four housing schemes whose developments emerged in 2000 were
purposely selected and these are: Nehanda Housing Scheme (NHS); Dzivarasekwa Extension Housing
Scheme (DEHS); Ushewokunze Housing Scheme (UHS) and Harare North Housing Scheme
(HNHS)were purposely selected around Harare. With the exception of DEHS, all other schemes began
by way of land invasion before regularisation was done. DEHS on the other hand, began as a holding
camp for households that were moved from Porta Farm in 1993. However, the acquisition of land for
this housing scheme commenced in 2000. Despite their background, all housing schemes are in areas
zoned for housing development with proper development plans in place. As summarised in Table 3, all
these housing schemes fall under the Harare Combination Master Plan (HCMP) of 1998 and some of
them such as NHS, DEHS and UHS are also governed by local development plans. Where there is no
local development plan, development proceeds by way of statutory land subdivisions as in the case of
HNHS.
Table 3: Key Features of the Housing Schemes
Housing Scheme Development Plans Distance from the Other Remarks

CBD
NHS HCMP and Gillingham Local 18km Mixed land uses including high
Development Plan No. 47 density residential
development.
UHS HCMP and Saturday Retreat Local 16km Mixed land uses including
Development Plan No. 50 housing development.
DEHS HCMP and Gillingham Local 18km Mixed land-uses including
Development Plan No. 47 high density residential
development.
HNHS HCMP but development can proceed 19km Mixed land uses including
through subdivision housing
Source: Author from various sources (2014)
The FTLRP which began as a movement for the landless people was largely supported by homeless
people who saw it as an opportunity to acquire land for housing. However, most of the people who were
in search of land for housing development were the urban poor who could not afford to buy serviced
land or housing on the open market. The household survey results indicated that only 68% and 51% of
the respondents in NHS and UHS were formally employed on full-time basis while the rest were
15
informally employed, unemployed or employed on part-time basis.
In a bid to regularise these land invasions, the government encouraged households to form housing
cooperatives as per the Co-operative Societies Act of 1996 (Chapter 24:05). However, on the part of
the Harare City Council, approval of layouts from cooperatives was conditional on provision of
substantial evidence to install on-site infrastructure. The creation of cooperatives in turn became a key
strategy through which most post-2000 housing schemes managed to acquire land for housing
development. Housing development in these cooperatives progressed through financial contribution of
households towards land acquisition (which was charged at an intrinsic value of US$7/m2),
infrastructure development (roads, water and sewer) and housing development. However, this proved
to be a daunting task for many cooperatives since most households were not gainfully employed and
those who were employed were earning below US$300 per month.
Even for those who were formally working, the daunting economic challenges made it almost
impossible to rely solely on salaries. Evidently, most households interviewed relied on their meagre
personal savings with only 10% who managed to obtain financial support from banks. So serious were
economic woes that the government abandoned the use of its currency (the Zimbabwean dollar) in 2008
and adopted multi-currencies – mostly the US dollar, the Rand and the Botswana Pula. Despite these
economic woes, housing development was supposed to adhere to conventional principles as guided by
existing by-laws and policy regulations such as submission of building plans to the local authority for
approval (see Table 2 for details).
However, prevailing economic challenges forced households to engage in cost-cutting measures in the
development process. Data from the household surveys shows that most households built houses on
their own in UHS, HNHS and DEHS. In DEHS, only 2% of the respondents engaged contractors to
build their houses. However, there are instances where cooperatives such as NHS built houses for its
members by engaging professional builders (see Table 4 for details). In DEHS, most households are
affiliated to the Zimbabwe Homeless People’s Federation (ZHPF) which together with Slum Dwellers
International (SDI) has put in place measures to build temporary two-roomed structures – hence the
100% indicated in Table 5. In addition, the SDI proposed the development of row-houses and walk-up
flats. Fierce resistance from beneficiaries saw only 5 plots measuring 64m2 and 150m2 plots being
reserved for this purpose.
Table 5: Who Built the House?
Area House Builder (%)

Self Contractor P/builder Coop
UHS 16 2 82 -
HNHS 79 - 21 -
DEHS 100 - - -
NHS - - - 100
Source: Fieldwork, 2012
This in essence meant that these schemes had to adhere to existing by-laws and regulations in in place.
As per the requirement of building ordinances in place, households and cooperatives were supposed to
submit development plans (for both housing schemes and building plans) to the local authority for
approval. Houses were to be built on plots with a minimum size of 150m2 while observing building
lines and using prescribed building materials (Government of Zimbabwe, 2004). Adherence to these
requirements is monitored by the planning control mechanisms from the Harare City Council. Most
16
emerging housing units are 4-roomed core houses supposed to be extended by households over a period
of time as resources become available. However, due to loop holes in the system coupled with other
administrative challenges, other unplanned settlements have since sprouted around the city.
5. Fitting Housing Policy in Urban Sprawl

From the data presented in Section 4.0, there are a number of salient issues that can be deduced which
link emerging housing schemes to urban sprawl. These largely revolve around existing housing policies,
housing production systems and the availability of land. It is to the interplay of these factors that this
paper turns its focus in the following section.
5.1 Home ownership policy
Low income housing development in Harare and Zimbabwe at large is synonymous with access to a
free-standing house on a separate parcel of land. This is supported by generous standards for both
infrastructure and housing plots which further promote sprawl (see Table 2). For instance, in 2011 alone,
50 land surveys which were undertaken in Harare yielded 22 568 individual plots while only 54
applications were made for cluster housing (HCC, 2011). In addition, cultural and economic aspects
also come into perspective. Cases have been noted where people resist high-rise developments because
of lack of direct access to land ownership. Home-ownership, to most households is linked to land
ownership. This has to be understood from traditional perspectives which directly link households to
land as seen in their rural settings. This in turn influences people’s attitudes towards housing in urban
areas. Concerns are also expressed by beneficiaries who resent the restrictive nature of building designs
which do not accommodate the use of houses for economic gain – specifically adding more rooms for
renting out and use of the plot for urban agriculture. This was witnessed in DEHS where the proposal
for cluster housing and walk-up flats was resisted by some beneficiaries.
5.2 Housing production systems
Housing production in Zimbabwe as already noted, also embraces self-help principles which are
enshrined in the country’s housing policies of 1982 and 1999. Initially, it was couched on the premise
of the state providing serviced land to individual beneficiaries. But lack of funding in the public sector
has since led to the use of housing cooperatives as key drivers of housing development. The Zimbabwe
National Association of Housing Cooperatives (ZINAHCO) estimates that there are 233 registered
housing cooperatives in Harare (HCC, 2011). As noted in Section 4, cooperative housing in Zimbabwe
is highly individualized and incremental in nature since it depends on the capacity of households to
mobilise resources. It is this propensity towards individualism which blends well with access to free-
standing plots which makes housing production a success. Where the cooperative takes the initiative to
build core houses, these are limited to one-bedroomed structures which still require more investment
by individual households.
In addition, this mode of housing production is labor-intensive with use of localized building materials
supported by intermediate technology. In essence, it revolves around mechanisms that allow
affordability through cost-cutting measures. Hence most of the houses built are simple structures that
neither go beyond one floor nor allow densification through semi-detached designs. Other typologies
of housing (such as high rise, town houses etc.) are not common among low income people. In 2011,
only one company (Pearl Properties), applied to construct 132 flats against over 22 000 plots that were
granted for free-standing housing units by the Harare City Council. Even in some instances where
17
established companies such as the Central African Building Society (CABS) are involved, construction
of free-standing housing units has become the norm since it is relatively cheap. However, the situation
has been aggravated by limited financial resources where households are forced to rely on their own
savings.
5.3 Availability of land

A major driver of housing development in Zimbabwe is easy access to land especially after the FTLRP
of 2000. The National Housing Delivery Programme of 2004 – 2008 sums up the importance of land in
housing development by prioritising the acquisition of 310 406 hectares of peri-urban land in order to
enhance housing production in Harare. In this policy, the government’s vision was on delivering
250 000 plots per year for housing development (Government of Zimbabwe, 2005). Aspiring home
owners are encouraged to join or form cooperatives to which land for housing is sold at intrinsic value.
This is supported by an institutional framework mandated to fast-track land acquisition, residential
layout and building plans approval. Development control mechanisms have been revised to allow
households to stay on their plots while infrastructure is being provided gradually. This has resulted in
the proliferation of housing developments on the urban periphery where land is easily available. In
addition, poor management of land has led to illegal housing schemes sprouting on state-land – with
most of them staying in environments without proper infrastructure. It must also be borne in mind that
low income housing production on the outskirts is cheaper since building materials (such as bricks and
sand) are locally obtained through moulding bricks and illegal mining of both river sand and pit sand.
It is clear from the data presented above that the prevailing housing policy directly contributes to the
expansion of the city. Kamusoko et al (2013) in their study of Harare observed that the city’s built-up
area spatially increased in size from 11.6km2 in 1984 to 342km2 in 2013 (see also Table 5). The greatest
growth was witnessed from 2002 – a period which coincided with the implementation of the FTLRP.
Table 5: Spatial growth of Harare
Item Year
Built-up area 1984 2002 2008 2013
Area (km2) 118.6 233.9 302.7 342
Area (%) 12.6 24.8 32.1 36.3
Source: Adopted from Kamusoko et al. (2013)
That sharp increase in housing cooperatives especially through the provincial government structures
made it relatively easy to access land for housing – hence the increase in the city’s foot-print.
6. Discussion and Conclusion
There are a number of issues that can be drawn from this discourse and these revolve around the nature
of urban sprawl, infrastructure and property ownership.
One critical observation that emanates from the context of Harare is that contemporary upsurge in
urban sprawl is a function of suburbanisation largely driven by the search for housing by low income
people. This development is largely due to the FTLRP which resulted in the availability of state land
for housing development. Indeed this is in line with Gillham’s (2007) argument that the availability of
18
land is one of the drivers of urban sprawl. However, this have to be qualified in the Zimbabwean context
in the sense that the whole process did not stem from the rational choice of consumer behavior, but an
intricate process engineered by both socio-economic and political forces. To a large extent, it resonates
Pacione’s (2001) contention embedded in economics and politics – which in the case of Harare, is meant
to improve the housing needs of the urban poor while at the same time earmarking for political control
of the city by the government in power. In essence, these are political decisions which are bound by
principles of social justice and which fall outside the ambits of rationality but with repercussions on
urban sprawl.
Cooperative housing in Zimbabwe is mainly done by people in the low income bracket. This goes
beyond the stereo-typed arguments of suburbanisation as a phenomenon associated with high income
households. What is interesting is the fact that these low income residential developments, whose
colonial name is “townships”; have come to dominate the urban spatial landscape despite their misfit
as suburbs in the colonial genre. This contrasts developments in European countries where the
phenomenon was initially associated with the increasing wealth of the middle class coupled with the
introduction of the automobile (Gillham, 2007). On the contrary, these are mere low income households
who are desperate for a home in an urban environment. The underlying factor is need which in essence
is associated with the urban poor. It is this factor which is equally captured by the UN (2005) in their
fact finding mission in Harare after Operation Murambatsvina/Remove Filthy.
Lopez’s (2014) observation that the development of infrastructure perpetuates urban sprawl seems to
be at variance with the emerging situation in Harare. New housing developments are not attracted by
any investment in new infrastructure other than relying on existing old infrastructure which in most
cases is far and not adequate to accommodate new developments. This is observable in the new housing
developers’ mandate which require beneficiaries to contribute towards the provision of their
infrastructure – as the case of NHS demonstrates where the cooperative had to engage a private engineer
to connect water mains 5km away from the housing scheme. The only other infrastructure which
purports to support Lopez’s arguments is the existing arterial inter-city road system which provides
access to these emerging developments. It is this phenomenal observation which forces one to concur
with Pacione’s (2001) argument that sprawl is a rational outcome of rational locators seeking lower cost
locations and less regulated environments as seen in the case of low income housing. Even in this regard,
pure rationality should not be envisaged in economic terms; but in the ability of households to secure a
permanent housing plot. Fundamentally, it is based on Rugglero” (2014) perception of rationality as
being informed by complete knowledge of the problem, context and preferences which in the
Zimbabwean case at this juncture, arises out of need and chance (in terms of land availability). It can
therefore be argued that current developments in Harare are born out of a socio-political environment
crafted on the need to facilitate property ownership in an environment characterised by economic
challenges. Once more, Pacione’s (2001) observation that suburbanisation is a response to socio-
political strategies find meaning in this context since these developments are promoted by government
policy.
Another aspect which is interesting about the case of Harare is that urban sprawl is linked to the housing
production system i.e. cooperative housing. Its appropriateness in the cash-strapped Zimbabwean
economy has been emphasised in various policy documents. However, outside the Zimbabwean
context, other authors (such as Keivani et al, 2004; Turner, 1976) have observed that this mode of
housing production is highly individualised and incremental in nature since it depends on households’
capacity to mobilise resources. Individualism blends well with ownership of free-standing plots. In
addition, this mode of production is highly labour-intensive, with the use of local building materials
19
supported by intermediate technology. In essence, it revolves around mechanisms that allow
affordability through cost-cutting measures. Hence most of the houses are simple structures that do not
go beyond one floor level. To a large extent, these measures have been prompted by the economic
down-turn which is characterised by high unemployment levels coupled with the flight of donor funding
(Chipungu, 2012). These techniques do not promote densification in housing production (such as high-
rise and semi-detached structures). Commenting on high-rise construction techniques, Okpala (1992)
argues that such structures are complex and demand expertise beyond standard forms of work. In
addition, he noted that such production systems are capital intensive and involve formal companies that
use latest technology. The flight of capital from Zimbabwe has drastically reduced established
companies’ participation in housing. It is therefore not surprising that in 2011, only 132 flats (by Pearl
Properties) were approved for construction by the municipality. In the case studies presented, only
DEHS has five plots reserved for duplexes. Even in instances where private capital is involved,
construction of free-standing housing units has become the norm since it is relatively cheap – as seen
the case of the Central African Building Society (CABS) which was given land to build low income
houses in 2010 by the Harare City Council (HCC, 2011).
To a large extent, the elevation of the cooperative approach to housing development among the poor
also blends well with neo-liberal principles – a development which is converse to the egalitarian
ideology of the government in power. However, the withdrawal of the government and municipalities
(due to lack of funding) from being providers has allowed the government to redefine housing laws and
regulations in line with demand. While still upholding conventional structures as the ultimate goal in
housing construction, the availability of land is promoting parallel housing development even in areas
beyond the 22.5km radius of the city where infrastructure is excessively expensive to provide.
Above all, the situation in Harare depicts fragmented developments that are driven by owner initiatives
and supported by institutional frameworks of the state. While this can be commended, there is still a
mammoth task of providing adequate housing as defined by access to proper infrastructure and services.
Policy pronunciations alone without financial support are limited in their impact. But more so, there is
need to revise the sustainability of these developments given the increased spatial dimension of the city
due to availability of cheap land coupled with the negative impact on the physical environment arising
out of illegal mining of cheap building materials (such as river sand and pit sand) on the urban periphery.
In conclusion, it can be argued that urbanization in Harare has had a major impact on the government’s
capacity to deliver services with housing being one of them. In a bid to arrest the housing demands of
the urban population, the government crafted a number of policies whose liberal nature, are contributing
towards urban sprawl. The paper noted that the financial dire straits of the government have resulted in
households engaging in housing production with the state acting as a facilitator limited to the provision
of land. Hence what emerges is the fact that a combination of housing policy, housing production
systems and economic challenges are directly contributing towards urban sprawl. The solution to these
developments must be found in underlying structural issues embedded in the political, economic and
social realm of the Zimbabwean urban environment.
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22
DII-2017-061
A Factorial Analysis of International Construction

Joint Venture Performance Measures: A Case of
Ghana
Gabriel Nani1, Mershack Opoku Tetteh2, James Cofie Danku3, Samuel Twum-
Ampofo4
Abstract
International Construction Joint Ventures (ICJVs) have emerged as innovative way of undertaking
projects in West Africa. The performance of such a cooperative relationship is of utmost importance to
joint venture managers, since the goals for entering into such an agreement can be realized, only when
the venture is successful. The perspective from which performance is evaluated as well as the measures
used, are equally important to this subject matter. However, seeing the characteristic complications of
construction projects, only an adequate combination of criteria allows measurement of ICJV
performance. The study reported here identified the most relevant performance evaluation measures
used by executive local officials (local managers and senior members) in Ghana and highlighted the
underlying reasons for use of these measures in international construction joint ventures. Using a self-
administered data obtained through a questionnaire survey by a purposive and snowball sampling
technique, a total of 67 ICJVs established by Ghanaian construction firms and foreign firm in Western
Europe, America, Asia and the Southern part of Africa were sampled for the study. Data analysis based
on factor analysis shows that local managers employ contemporary non-financial measures that include
‘learning and cooperative and relationship measures of performance in addition to the popularly known
conventional measures like rate of return, cash flow, growth and cost position to determine their
performance. A novel finding is that local firms in ICJVs choose performance measures depending on
their exposure (experience) and current stage of the firm. These findings have important implications
for international businesses in choosing appropriate measures for their ICJV performance evaluation.
Keywords:3construction, Ghana, joint venture, performance
1. Introduction
It is widely argued that international construction joint ventures (ICJVs) provide a platform where
advanced technologies and management expertise are realized and used to improve quality, reduce
wasted-work at the project level. It also mitigates the effect of cyclical domestic market conditions as
well as establish continuing strategies for the balanced growth of domestic and international
1Lecturer; Department of Building Technology; KNUST; Building Technology Department; [email protected].

2Graduate and Research Assistant; Department of Building Technology; KNUST; Building Technology Department;
[email protected].
3Lecturer; Department of Building Technology; KNUST; Building Technology Department; [email protected].
4Student; Department of Building Technology; KNUST; Building Technology Department; [email protected].
23
construction portfolios (Contractor and Lorange, 2004; Zhang and Zou, 2007). Nevertheless, in
developing countries the attractiveness of foreign investment through JVs is because they are a means
of sustaining market development, acquiring advanced technology as well as developing managerial
skills necessary to create economic growth (Li et al. 2000). An international construction joint venture
can be considered as an arrangement that enables two or more legally distinct firms to jointly carry out
Architectural, Engineering and Construction (AEC) projects; and where the headquarters of at least one
partner is situated outside the venture operation country (Hong, 2014). Girmscheid and Brockmann
(2010) also argued that, if the partners come from different countries, then the venture is considered as
an international joint venture (IJV).
Ghana has since the mid-1960s established an extensive joint participation programme through
legislation and administration of investment codes with the objective to develop, finance and contribute
to national socio-economic development by building the infrastructure and productive facilities
(Boateng and Glaister, 2000). Acquaah (2009) provided evidence to support the overwhelming
preference by foreign investors for IJVs in Ghana. A report from the Ghana Investment Promotion
Centre as in table 1 and 2 below shows that, of the 1821 registered projects between the years of 2011-
2016, a total 595 projects (32.7%) were executed with JV arrangement by firms. However, from Table
2, out of the 595 joint ventures projects, 206 (34.6%) were building/construction projects.
Table 1: Approved recorded projects in Ghana by ownership type (2011 – 2016)

Without JV arrangement Joint venture Total
Year Number (%) Number (%) Number Column (%)

2011 327 63.6 187 36.4 514 28.2
2012 239 59.9 160 40.1 399 21.9
2013 311 74.4 107 25.6 418 23.0
2014 135 73.4 49 26.6 184 10.1
2015 110 64.7 60 35.3 170 9.3
2016 104 76.5 32 23.5 136 7.5
Total 1226 67.3 595 32.7 1821 100
Source: Ghana Investment Promotion Centre (2016)
Table 2: Sectorial composition of recorded projects in Ghana under joint venture (2011 – 2016)
Construction Others Total
Year Number (%) Number (%) Number Column (%)
2011 49 138 73.8 187 31.4
26.2
2012 55 34.4 105 65.6 160 26.9
2013 61 57.0 46 43 107 18.0
2014 8 16.3 41 83.7 49 8.2
2015 19 31.7 41 68.3 60 10.1
2016 14 43.8 18 56.2 32 5.4
Total 206 34.6 389 65.4 595 100
Source: Ghana Investment Promotion Centre (2016)
Though foreign direct investment in Ghana through international joint venture has gain widespread
attention, yet still, the rate at which it is growing is slow as compared to the previous years. At times,
government policy encourages JVs to enable local partners tap into the knowledge and technology of
foreign partners. In case of such a policy, like that, with time they deliberately reduce the inflow. Not
to talk about the dissolved once, others do not deliver the hope-for results and fail (Talman, 2009).
24
As a result of this trend, companies are evaluating their joint venture strategies, and part of this
assessment there are implications for the measures employed by local firms in evaluating performance
of ICJV.
Literature indicates that a number of studies have focused on ICJV performance measurement in
specific countries and region in both developed and developing countries (Boateng and Glaister, 2002;
Ozorhon et al. 2010; Larimo et al. 2016). Yet, in the context of sub-Saharan Africa (SSA),
performance evaluation of ICJVs has received virtually no attention, this is more evident from the
perspective of the local business partner. This paper identifies the most relevant performance
measures employed by the local firms to assess their performance in ICJVs in Ghana. The study offers
several implications for international businesses in choosing appropriate measures for their ICJV
performance evaluation and opportunities for further research.
2. Literature Review on International Joint Venture Performance

Measurement
Accompanied by the growing body of related benefits associated with IJVs is the high degree of
instability and poor performance. Results in several studies show high estimated rate of about 30% to
70% IJV failure (Bamford et al. 2004). It is therefore not surprising that a large number of studies have
focused on how to determine the existence of key explanatory factors of the joint venture performance,
and even more into international case (Ozorhon et al. 2010). The establishment of international joint
ventures is based on a number of different reasons in a variety of circumstances (Acquaah, 2009).
Accordingly, Child and Yan (2003) revealed that there existed some relationship between an IJVs
performance evaluation and the objectives under which an IJV is formed. They however stressed that
the JV partners may have different objectives as well as conflicting agendas which in other words,
suggests different performance criteria used by the partners. The situation becomes more complicated
when the different perspectives on performance and the diversity of performance measures are
examined simultaneously (Ozorhon et al. 2010; Larimo et al. 2016). While in many cases the partners
may share some common objectives and use similar performance measures, in many other cases each
party’s idiosyncratic perspective is combined with a quite distinct set of performance criteria (Yan and
Luo, 2016).
According to Hong et al. (2009), there has been no consensus on an appropriate conceptualization and
measurement of IJV performance over the past decades. Generally, from the viewpoint of managers
and results in previous studies performance measurement is categorized into two main groups. They are
financial and non-financial measures. The financial measures of performance are reliant on traditional
indicators like profitability, growth and cost information which are short-term in nature (Jusoh et al.
2008). Non-financial measures are used to capture different aspects of the performance of the firm like
management related, strategic related and learning related (Larimo et al. 2016). Thus they are
quantitative measures of either an individual or an entities performance that are not expressed in
monetary terms. They are used to evaluate non-financial aspects of the firm and include client
satisfaction, attainment of strategic objectives, market share, efficiency and productivity. Another
stream of research also advocate that performance measurement can be seen as either subjective
(perceptual) or objective measures (Julian, 2005). Subjective measures include partners’ satisfaction,
perceived financial performance, the overall JV satisfaction, partner relationship, market position, JV’s
returns from the Client, parent firm’s returns from JV. Objective measures on the other hand are based
on independent data that can be obtained from third parties (Mohamed, 2003). They include longevity,
25
survival, profitability, and stability. Studies by Larimo et al. (2016) throws more light on these measure
of performance in international construction joint venture.
2.1. Choosing performance measures: A multidimensional perspective

A review of past literature revealed some underlying reasons for choosing one performance measure
over the other. Boateng and Glaister (2002) reported that the choice of performance measures
sometimes depended on the organisational objectives to be achieved. This is evident in the works of
Sim and Ali (2001) and Larimo et al. (2016). To measure the efficiency and market gaining of IJVs,
firms need financial measures including return on investment, profit and loss account, which best
evaluates efficiency. From another perspective, the cultural differences amongst parties to an IJV is a
driving force particularly behind the use of objective financial measures (Mohr and Puck, 2005). Chong
(2009) pointed out that national culture has a strong impact on IJV operations and performance
measurement. In solving this problem local managers may want to use more objective measures such
as financial measures to evaluate the performance of their firms. Since financial measures use numbers
in the measurement, they are clear and easy to read and to understand by parties to the JV arrangement.
Abdel-Maksoud et al. (2008) found that firms having prior experience in managing IJVs focus less on
financial control. Similarly, the experience of local managers in a particular host country is very
valuable because this provides insight for the parties to help cope better with uncertainties. Prior
experience is therefore a major contributing factor to choosing one performance measure over another.
Environmental uncertainty of the target country can be referred to as unexpected changes in regulation,
legislation, judicial decisions or changes in demand (Mahmood et al. 2008) or social uncertainty.
Operating in countries where there is high legal and social uncertainty, businesses may want to avoid
the measures that may be easily affected by the changes or uncertainty. These measures include, for
example, non-financial measures such as the venture market positions or the level of satisfaction of
clients.
3. Research Methods
3.1 Data, sample and validity checks
The data for this study was part of a large sample, which consisted of 595 IJV companies selected from
the Ghana Business Directory from the year 2011-2016. Within these years mark a huge upsurge of
foreign direct investment for economic development in Ghana. Out of the 595 IJV companies, 206 were
building and construction firms (Ghana Investment Promotion Centre, 2016). These 206 companies
were IJVs between foreign firms and Ghanaian firms with the foreign firms holding at least 10% equity
shares in the IJVs. Foreign partners were from Western Europe, America, Asia and the Southern part
of Africa. The data was collected from senior management personnel of the local partner of the IJVs,
which were made-up of mostly executive officers (project managers), directors of human resources and
contractors (for strategic, organisational and performance information) operating in Ghana.
Questionnaires and interviews were employed in collecting data for the study. Interviews were
conducted to collect further data on issues not explicitly addressed in the questionnaire. Responses were
received from 108 ICJV firms. This represents a response rate of about 52%. Care was taken to ensure
questionnaire respondents hold senior management positions in their firms. This was intended to
prevent potential response bias and common method variance problems. An examination of the job title
of the respondents indicated the following: Executive Officer (Project Manager) (30%), Director of HR
(23%) and Construction Manager (47%). Averagely, the respondents have worked for the ICJVs for 12
years and have held their respective position in the ICJVs for nearly 6 years. A non-response bias was
tested for by applying a t-test comparing the early responses with the late responses along with some
26
key descriptive variables found no significant difference between the two groups. Indicating that non-
response bias is not a major problem in this study.
3.2 Factor analysis

From a review of past studies, a considerable number of dependent variables were identified. A
reduction technique was therefore needed in order to identify the possibility that some of the variables
will result in effects which are directly related and to ascertain which of the specific variables could be
measuring aspects of the same underlying facet. The analysis used principal component and varimax
rotation method, which optimized and improved the clarity of the results. A reliability alpha test
conducted indicated a reliable measure of consistency of correlations (greater than 0.7) amongst the
items in each component (Nunnaly, 1978).
4. Results
The analysis of twenty (20) items on the ICJV performance measures yielded four factors and together
these factors account for about 64.2% of the variance. Descriptive identification of these factors are as
follows:
i. Cooperative relationship measures - this construct places emphasis on a long term goal
achievement of the ICJV as numerous authors have denotes it as process oriented goal
(Girmscheid and Brockmann, 2009). It and includes commitment, trust, work satisfaction, overall
ICJV satisfaction, stability, complementarity and relationship with authorities (seven items,
reliability alpha at 0.89);
ii. Financial measures, which include return on investment, cash flow, cost control growth and cost
position and asset turnover (five items, reliability alpha at 0.79);
iii. Strategic measures, which include productivity, reputation, innovative strength, market share and
resource safeguarding (five items, reliability alpha at 0.78); and
iv. Learning measures, this places emphasis on the importance of expertise and technology to African
firms who go into ICJV agreements, it include, management know-how, technology know-how
and market know-how (three items, reliability alpha at 0.71). The results of the factor analysis
are presented in table 3 and table 4.
Table 3: Initial matrix and rotated matrix of performance measures of ICJVs

Extraction sums of squared loading Rotation sums of squared loading
Factor Total Variance (%) Cumulative Total Variance (%) Cumulative
(Measures) (%) (%)
Cooperative 5.868 29.340 29.340 4.440 22.202 22.202
relationship
Financial 2.581 12.905 42.245 3.082 15.410 37.612
Strategic 2.338 11.691 53.936 2.895 14.474 52.086
Learning 2.051 10.256 64.192 2.421 12.107 64.192
Extraction method: principal component analysis
27
Table 4: Factor analysis of ICJV performance measurement items
Variable items Factor loading Cronbach’s
1 2 3 4 alpha
Cooperative relationship measures 0.892
Commitment 0.771
Trust 0.843
Work satisfaction 0.779
Overall ICJV satisfaction 0.863
Stability 0.897
Complementarity 0.643
Relationship with authorities 0.470
Financial measures 0.793
Return on investment 0.787
Cash flow 0.758
Cost control 0.607
Growth and cost position 0.502
Asset turnover 0.874
Strategic measures 0.775
Productivity 0.681
Reputation 0.660
Innovative strength 0.603
Market share 0.770
Resource safeguarding 0.693
Learning measures 0.705
Management know-how 0.646
Technological know-how 0.720
Market know-how 0.801
Extraction method: principal component analysis
Rotation method: varimax with Kaiser normalization
4.1 Discussion of factors
4.1.1 Factor 1 (Cooperative relationship measure)
A good relationship is invaluable, where two or more construction firms seek to join forces in order to
achieve their goals (Hauck et al. 2004). It is noteworthy that most of the factors under this component
are subjective in nature, thus, they capture the opinions of managers (Mohamed, 2003). These process-
oriented performance evaluation measures are not based on specified output goals, but on an evaluation
of the company’s internal transformation, transparency, clear responsibility, the ability to deal with
conflicts and continued survival versus premature dissolution of the joint venture. A possible
explanation is that, due to the unstable nature of this hybrid form of alliance in the emerging economics,
cooperative relationship has always been the issue with direct implication on performance. Local
businesses feel that a good relationship opens greater opportunities for them in the long-run as it creates
informational and reputational benefit of dense network from their foreign partner. Businesses also feel
that building a strong cooperative relationship serves as a competitive edge that creates a repeated tie
of the same network with the foreign partner firm to develop a cohesion-exclusion mechanism for their
alliance.
4.1.2 Factor 2 (Financial measures)
The main aim of contractors is to assume the risks associated with putting up structures so as to make
profit. In order to measure the extent to which such financial objectives have been achieved, businesses
resort to the use of financial measures of performance. Local managers therefore agree on the need to
adopt profitability in order to evaluate the returns made by the IJV. Accordingly, JVs returns from the
28
client was also considered a relevant measure of performance. JV’s return from the client is a financial
measure that deals with cash in-flow to the ICJV’s accounts from the client. The independent ICJV on
a project is paid for what is due them and this remuneration can be used as basis to evaluate the
performance of an ICJV. In the same vein as JV’s returns from the client, the partners’ returns from the
client was identified as a relevant measure in evaluating a JV’s performance. Growth and cost position
was also identified as a relevant measure in evaluating performance of joint ventures. Construction
firms join forces with larger ones through ICJV agreements to grow their business. Through an IJV
cooperation, firms benefit from more resources, sharing of managerial load, bigger pool of contracts,
reduced commercial risks amongst others. The use of growth as a performance measure by local
businesses of ICJVs thereby becomes relevant in such a situation.
4.1.3 Factor 3 (Strategic measures)
With the relevance of IJV as a medium of operating businesses in and across national boundaries,
managers adopt ICJVs as part of their firms’ business plan, as a strategic means of achieving the short
and long term goals of their organisations. Contractor and Lorange (2004) attest to the fact that the
formation of IJVs is not necessarily to achieve conventional business goals but for other qualitative
objectives. The setting up of ICJV’s is to increase the capability of the parties to undertake large projects
where independent contractors find it difficult to do so. In view of this, it is no doubt that respondents
consider productivity as a relevant measure of performance. Also, Ochieng et al, (2013) stated that a
strategy for firms to gain a positive cash flow is to expand their markets. Notwithstanding the exposure
to risks, Chen and Messner (2010) stated that a higher control of a construction market is directly related
with higher profitability. Innovation is the result of an interactive process in which different specialized
agents exchange, absorb and assimilate knowledge in a physical or socially shared context (Autio et al.,
2004). This process does not depend solely on the knowledge that a firm develops internally, but also
depends on a firm’s capacity to assimilate the knowledge of other firms.
4.1.4 Factor 4 (Learning measures)
Dlungwana and Rwelamila (2014) emphasized the importance of external expertise and technology to
African construction companies who go into international joint venture agreements. A joint venture
provides an appropriate context so that learning processes may take place simultaneously, for example,
cooperative learning (Kale and Singh, 2007). Organisation identifies and learn specific knowledge
which exists in another organisation or in its different parts. This learning process can provide new
knowledge which provides firms with the capacity to cooperate and, furthermore, acquire the
knowledge they need in order to innovate. The success of an organisation in today’s competitive
business environment is strongly related to its ability to utilize knowledge and build their capacity and
sustain its competitive position in the changing business environment. Local businesses see the
importance of acquiring knowledge as the most strategic significant resource of a firm, and performance
winner in any collaborative form they enter. For organisations that have a high level of knowledge of
diverse experience/exposure to foreign culture have a deeper understanding of how to deal more
effectively and efficiently within local environment, and thus be more successful than their less
knowledgeable local counterparts.
5. Conclusion
With the coming together of two or more organisations with different cultural backgrounds,
performance evaluation is inevitable where firms seek to develop strategic plans, evaluate the
29
achievement of their goals and in rewarding businesses. In this paper, the relevant measures used in
evaluating performance are examined. This could form a basis for building a framework for evaluating
the performance of international construction joint ventures in developing countries. It differs from
prior studies in that it provides the underlying reasons for the use of the relevant performance measures,
from the perspective of local managers. Results from principal component analysis grouped the
measures into four components, namely; cooperative relationship measures, financial measures,
strategic measures and learning measures.
The identification of relevant performance measures for use for construction joint ventures would guide
managers in selecting performance measures to use amongst the lot during the period of evaluating
performance. The information obtained from performance evaluation would lead managers to initiate a
chain of actions that will enhance the ability of the firm to achieve its short- and long-term aims.
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32
DII-2017-027
Assessing the Effects of Nodes, Internodes and Height

Position on Mechanical Properties of Bamboo as a
Sustainable Structure Material: A Case of Ghana
Species
Damenortey R. Akwada1, Esther T. Akinlabi2

Abstract
Bamboo, a regenerative plant has been used as a structural material for ages, due to its mechanical
properties. As a structural material, bamboo has similar properties as that of timber and often uses
related approaches of structural framing, though the suitability of bamboo for structural works largely
depends on the species. Bamboo’s usage in recent years is increasing due to its promising applications
as non-wood material. Its superior properties make it an excellent material for infrastructure
development. Despite its impressive mechanical properties, it is characterised by some weaknesses,
being a nonhomogeneous material, culms not uniform, on the culms guiler node and its cross section is
hollow.The study on the effects of node, internode and height position on mechanical properties of
bamboo were evaluated on Bambusa Vulgaris species in Ghana. The mechanical properties determined
in the study included (compression, fatigue, shear and tensile) and tested in dry air conditions. The
findings on mechanical properties of culms, located at various heights were investigated by ISO 22157
and ASTM standards. Samples were cut into specimens and tested to obtain the mechanical properties,
ranging from the bottom to the top of each sampled specimen. The analysis of variance (ANOVA)
showed the effects of nodes and internodes were of least significant difference (LSD) in all the species.
However, tensile parallel to the grain was of significance in all the samples. The effect of height position
on the culms was significant across the culm (bottom, middle and top) except the tensile strength
perpendicular to the grain was of LSD. The interaction between the node, internode and height position
was of (LSD) in all the parameters for these tests except for the tensile strength parallel to the grain
which had a great LSD. Results showed a significant influence of node, internode and height position
has effects on mechanical properties such as shear, compression and tensile parallel and perpendicular
to grain strength which increase from bottom to top. The study shows that Bambusa Vulgaris has a high
mechanical properties, and as an alternative to wood in structural engineering. A further study is
required to be carried on other species available in the country.
Keywords: bamboo, height position, internode, mechanical properties, 4node
1Student;Mechanical Engineering Science; University of Johannesburg; P.O. Box 524 Auckland Park 2006, South Africa;
[email protected].
2Vice Dean; Faculty of Engineering and Built Environment; University of Johannesburg; P.O. Box 524 Auckland Park 2006,
South Africa; [email protected].
33
1. Introduction
Bamboo is a composite material by natural occurring which is mostly and abundantly found in tropical
countries such as Asia, Africa, and America (Gratani et al., 2008). It is a composite material because it
consists of cellulose fibres embedded in a lignin matrix. Cellulose fibres are aligned along the length of
the bamboo providing maximum tensile, flexural and rigidity strength in that direction Lakkad and Patel
(1980). There are over 1,500 bamboo species which have been identified globally and are classified
into 70 genera Kushwaha and Kumar (2013), Chattopadhyay et al. (2011). Bamboo has its nature as a
hollow tube with thin walls. However, it is harder to join bamboo than pieces of soft or hard wood Liese
(1980). Bamboo can be group into two (2) distinct types namely herbaceous type (for food and
medicine) and woody type (for industrial ply boards) Tara Sen and Jagannatha (2011). Bamboo has a
very long history of humanity and is also one of the oldest building materials used by humankind
Wooldridge (2012), Yu et al. (2011). It is a regenerative natural resource which has a solution to the
Product Lifecycle Phase which results from extraction of deposition waste materials that are not
disposed of properly according to Ljungberg (2007), Bovea and Vidal (2004). It sequesters carbon
dioxide (CO2) from the atmosphere and releases 35% more oxygen into the atmosphere than an
equivalent stand of hardwood trees Janssen (2005). Bamboo has been used widely for household
products and extended to industrial applications in its raw or processed state due to advances in
processing technology and increased market demand. In most Asian countries, woody bamboo is being
used for household utilities such as containers, handicrafts and chairs. Several researchers have used it
as a raw material for structural composites such as Oriented Strand Board (OSB) etc. (Qisheng et al.,
2002; Edward and Doing, 1995; Janssen, 2000). Findings on the mechanical properties of bamboo are
paramount to aid in its suitability for various end-products (Sattar et al., 1994). The appropriate use of
any material depends on its properties to a large extent. The mechanical properties to be evaluated
include bending strength, tensile strength, compressive strength, shear resistance and fracture
resistance. This study aimed at evaluating the mechanical properties of Bambusa vulgaris, a native
bamboo species in Ghana. The properties were assessed on the node, internode and height position of
the culm. The results were helpful and gave basis to identifying other bamboo species in the country
which could also be useful in the structural engineering.
2. Bamboo Culm
Bamboo is a tall grass, fast-growing perennial grass with large woody culm belonging to the family
Poaceae, subfamily Bambusoideae (Zhang et al., 2002). The bamboo plant is complex, having two sets
of identical vegetative structure axes: a section of the part is above the soil and the other below the
ground. The primary above the ground axis consists of joined tall cylindrical stems, called culms. The
part beneath the ground axis is a robust rhizome system with roots and buds (Zhang et al., 2002). It is
an anisotropic material with mechanical properties in the three principal directions vary in the
longitudinal, radial and transverse directions (Ahmad and Kamke, 2005). Bamboo is very advantageous
in load carrying structural components, where mechanical such as tensile strength, compressive
strength, shear strength, flexural strength and bending elasticity modulus are importantJiang (2007).
Bamboo culm has been used in building applications, such as flooring, ceiling, walls, windows, housing,
etc. It has been used in construction works as structural materials for bridges, water transportation
facilities and skyscraper scaffoldings (Edward and Doing, 1995; Janssen, 2000; Qisheng et al., 2002).
A bamboo culm has a hollow cylinder that tapers and narrows towards the top as shown in Figures 1
and 2. They mature between 4-5 years, and it also attains its maximum mechanical strengths. The culms
of bamboo are of different colours ranging from purple-black, green, black, yellow, etc. Liese (1980).
The native species in Ghana is Bambusa vulgaris, constituting 95% and Oxytenanthera abyssinica with
34
5%. Some foreign species such Dendrocalamus strictus, Dendrocalamus membranaceus and many
others have also enriched the bamboo resource base in Ghana.
Figure 1: Bamboo culm tapers and narrows towards the top
Figure 2: Shows hollow cylindrical section of bamboo culm
3. Materials and Methods

The materials were taken from Central and Western regions of Ghana while the laboratory use for this
study is in the Mechanical Engineering Science Departments of the University of Johannesburg. The
bamboo species selected for the survey is Bambusa vulgaris of ages; one, three and five for this study.
The ages of the bamboo were monitored by the farm owners as well as the forestry department of Ghana.
This process includes cutting off the matured ones and planting new ones. The samples were air-dry
and treated with the insecticide Dursban mixed with gasoline. The samples were categories into three
sub-groups with three different parts; top, middle and base. For the assessment of the mechanical
properties, the Bamboo was evaluated using samples of full-bamboo and split at 15% moisture content.
From observation, the effect of the nodes, specimen samples were marked in such a way that internode
and node samples were taken from a neighbouring position along the culm and tested under the same
circumstances. The results indicate that tensile strength of the node region was only about 30% than
that of the internode. There was a significant difference in the value of the elastic modulus. Node elastic
modulus was about 40% that of the Internode'sJanssen (2005) and Jiang (2007). The study of
mechanical properties of Bambusa vulgaris indicated that the nodes did not impart any adverse effects
on tensile strength, bending strength and compressive strength parallel or transverse to the grain Shao
et al. (2010). Many factors do affect the mechanical properties of bamboo such as moisture content,
species type, age, green or conditioned, form and size of the specimen node or internode, position along
the culm, testing speed and short or long-term loading Janssen (2005). This study aimed to determine
the mechanical properties such as tensile, shear, compression parallel and perpendicular to the grain of
the bamboo culm. These properties assessed include the node, internode and height position so that their
influence level will be known on Bambusa vulgaris.
35
4. Mechanical Properties
The specimens for mechanical properties are composed of the tensile test, the shear test, and the
compression test; samples of shear and compression test produced with the same model, with the
specimen height taken equal to the outer diameter and prepared from the full culm bamboo ISO 22157
(2004); setup tests for specimens of shear and compression (Figures 3 and 4); specimens of tensile
parallel and perpendicular to grain prepared from split bamboo culm; and setup tests for tensile parallel
to grain (Figure 5) and tensile perpendicular to grain (Figure 6). The shape of the specimen for the test,
tensile parallel to grain is created to follow ISO-22157 standard with node and internode culm; while
the sample’s tensile perpendicular to grain is made to follow ASTM standard ASTM (2007) with all
properties on node and internode classified into three groups: bottom, middle and top.
Figure 3: Setup of shear test of bamboo
Figure: 4: Setup of compression test of bamboo
Figure 5: Setup of tensile test parallel to grain of bamboo
36
Figure 6: Setup of tensile test perpendicular to grain test of bamboo
5. Statistical Analysis
An analysis of variance (ANOVA) was adopted to verify the relationship between a dependent variable
with one or more an independent variable Gozhali (2011). In this study, the one dependent variable and
two or three an independent variable is called two-way ANOVA. The data were analysed using the
Statistical Package of Social Science version 15 (SPSS 15). Analysis of two-way ANOVA was used to
determine the effects of the node, internode and height position of mechanical properties of bamboo
culms. The significance value in the calculation which is smaller than probability 5% (sig.< 0.05) is
called significant (*), while the significant value in the computation which is larger than probability 5%
(sig. > 0.05) is called least significant difference (LSD). Effects were reviewed in the analysis of two-
way ANOVA as main and interaction variables. The independent variable of F1 was a variable of node
and internode sections while the independent variable of F2 was a variable of height position at the
bottom, middle and top sections. The main effects were independent variables of F1 and F2, while the
interaction effect was a combination of the independent variable of F1 and F2 respectively.
6. Results and Discussion

From specimen samples of 30 bamboos without node, the moisture content was found to vary from
12.94% to 16.16% with an average of 15.09%. The requirement as a building material was limited to
15% moisture content Ljungberg (2007). Tables 1 and 2 illustrates average mechanical properties
obtained from three repetition test of mechanical properties. The average values of shear strength on
internode and node of mechanical properties are 7.787 MPa and 7.747 MPa from 30 samples of 15 node
and 15 internode specimens, in Table 1. The shear strength of samples with internode and node was
almost similar in the species. The average values of shear strength were observed of the node and
internode at the bottom, middle and top respectively, in Table 1. Results analysis of variance (ANOVA)
performed on the data of mechanical properties in a relationship of the effects of node and internode at
height position are shown in Table 2. The results analysis of variance (ANOVA) of shear strength of
F1, F2 and F1*F2 were 0.03, 15.22 and 0.01 respectively which values significantly were a least
significant difference (LSD), significant (*) and least significant difference (LSD). Variable of node
and internode (F1) was a least significant difference (LSD) against shear strength, so the research on
shear strength may only view node or internode section. Variable F2 of height position (bottom, middle,
top) was significant (*) against shear strength, and so the research of shear strength may be reviewed
as a complete variable of height position on the bottom, middle and top section. Variable of interaction
(F1*F2) was the least significant difference (LSD) against shear strength, so the research on shear
strength may only view of variable node or internode on the bottom, middle and top section.
37
The average values of tensile parallel to grain strengths of 30 samples having 15 internodes and 15
nodes are 253.33 and 110.67 MPa respectively, while the tensile strengths perpendicular to the grain of
30 samples with 15 internodes and 15 node samples are 2.723 and 2.727 MPa respectively. The
strengths of samples of tensile parallel to grain with node show a significant difference, while it is
tensile perpendicular to grain was almost similar. Shear strength and tensile strength perpendicular to
grain increase with height from the bottom through the middle and the top section of culms (Figures 7
and 9). The differences in the tensile strength parallel and perpendicular to grain on the bottom, middle
and top section of culms (Figures 8 and 10). Based on analysis of variance (ANOVA) computed F1,
F2 and F1*F2 value, the independent variables for tensile strength parallel to grain were 645.954,
19.476 and 5.271 respectively, while the independent variables for tensile strength perpendicular to
grain were 0.005, 3.396 and 0.016 respectively. The different independent variables of F1, F2 and
F1*F2 for tensile strength parallel to grain was all significant (*), whereas the tensile strength
perpendicular to grain was of least significant difference (LSD). In another word, determining of tensile
strength parallel to grain should be reviewed as complete against variable F1 (node and internode), F2
(height position on the bottom, middle and top section) and F1*F2 (node and internode on the bottom,
middle and top section). Determining of tensile strength perpendicular to grain may only be review
against variable F1 (node or internode section), F2 (bottom or middle or top section) and F1*F2 (node
or internode on the bottom, middle and top section). Also, the hypothesis of tensile strength parallel to
the grain of the same sample is rejected, but the hypothesis of tensile strength to grain difference was
accepted. Similarly, the hypothesis of tensile strength perpendicular to grain same sample was accepted,
but the hypothesis of tensile strength perpendicular to grain difference was rejected.
Shear Strength
8.56
8.48
Shear strength (MPa)
7.35 7.45
7.44
7.32
BOTTOM MIDDLE TOP

Node Internode
Figure 7: The difference of shear at the bottom, middle and top.
38
Tensile Strength
Tensile strength parallel to

285
250
225
grain (MPa)
107 120
105
BOTTOM MIDDLE TOP

Node Internode
Figure 8: The difference of tensile strength parallels to grain at bottom, middle and top
From 30 specimens for compression strength showed 15 with node and 15 without a node. The average
values of compression strength in Table 1 showed on node and internode of 51.43 MPa and 52.27 MPa,
whereby values differences on height position at the bottom, middle and top were showed in Fig. 10.
Base on the analysis of variance (ANOVA) computed F1, F2 and F1*F2 value, the independent
variables for compression strength were 1.63, 7.31 and 0.33 respectively. The significantly different of
the independent variable of F1, F2, and F1*F2 for compression strength was the least significant
difference (LSD) for variable F1, significant (*) for variable F2 and least significant difference (LSD)
for variable interaction F1*F2. Variable F1 of node and internode was the least significant difference
(LSD) against compression strength, so research of compression strength may only view node or
internode section. Variable F2 of height position (bottom, middle, top) was significant (*) against
compression strength, so research of compression strength should be reviewed as complete of height
position on the bottom, middle, and top section. Variable interaction F1*F2 of node and internode on
the bottom, middle, and top section was the least significant difference (LSD) against compression
strength, so research of compression strength may only view node or internode on the bottom, middle
and top section.
Tensile strength
Tensile strength perpendicular
3
2.7
2.69
to grain (MPa)
2.48
BOTTOM MIDDLE TOP
Node Internode
Figure 9: The difference of tensile strength perpendicular
39
Compression Strength
58
Compression strength
56
to grain (MPa)
perpendicular
54
52
Node
50
Internode
48
46
44
Bottom Middle Top
Figure 10: The difference of compression strength parallel at thebottom, middle and top
Table 1 Mechanical properties of bamboo

Character Unit Node Samples Node Samples
Bottom Middle Top Average Bottom Middle Top Average
Shear strength MPa 7.32 7.44 8.48 7.75 7.35 7.45 8.56 7.7 9
Tensile strength MPa 105 107 120 110.67 225 250 285 253.33
parallel to grain
Tensile strength MPa 2.48 2.70 3.00 2.73 2.48 2. 69 3.00 2.72
Perpendicular
to grain
Compression MPa 48.77 51.70 53.82 51.43 48.90 52.30 55.60 52.27
Strength Parallel
to grain
Table 2: Influence of node, internode and height position of mechanical properties
Character Analysis of ANOVA

Main effect Interaction effect
F1 Sig. F2 Sig. F1*F2 Sig.
Shear strength 0.03 0.87 LSD 15.22 0.00* 0.01 1.00 LSD
Tensile strength 645.95 0.00* 19.48 0.00* 5.27 0.02*
parallel to grain
Tensile strength 0.01 0.94 LSD 3.40 0.06LSD 0.02 0.98LSD
perpendicular to grain
Compression strength 1.63 0.22 LSD 7.31 0.01* 0.33 0.73 LSD
40
7. Conclusion
The study effects of the node, internode, and height position on Bambusa vulgaris species both split and
full bamboo culm test configuration was evaluated. Mechanical properties of shear, compression,
tensile parallel and perpendicular to grain strengths on node and internode increased from bottom to
top. The strength on node and internode of the samples was almost similar to all mechanical properties,
except tensile parallel to the grain. The node and internode do have a significant influence on the
compressive strength of bamboo. Bamboo with low moisture content has a higher compressive strength
than bamboo with high moisture content. Also, shear stress parallel to grain is approximately ten (10)
times less than compressive strength and twenty (20) times lower than the tensile strength of the culm
at the three points of consideration. Moisture content was different at height position along the culm.
Moisture content decreased as the height of culm increased. However, height had almost no effects on
the modulus of elasticity (MOE) and modulus of rupture (MOR). As a natural regenerative composite
material, bamboo has a high potential of being an infrastructure and a sustainable material for many
developmental works in Africa. Investing into its development for both wood and non-wood industries
in Africa is a potential strategy to reduce importation of costly raw materials for structure works. Being
a less costly and readily available in Ghana, with its high potential in mechanical properties which is
averagely close to steel in tension, it is seen as a potential material which would help the Ghanaian
building and infrastructure industries as well other African countries. When cultivated commercially,
its significant impact on the people would assist in eradicating/reducing poverty and would bring
development to the people. Its importation into other African countries for structure works would assist
in the economic growth of Ghana and other African countries as its processing does not require much
energy and transportation. Also, bamboo releases about 30% of oxygen higher than that of hardwood
and its cultivation would serve as a process to reduce the carbon dioxide in the atmosphere to enhance
the health condition of its inhabitants. Bamboo is a versatile material and could be adopted in any
industrial sector to produce product ranging from architecture, textile, food, construction, building,
medicine and many other industries. Hence, if these properties are utilised very well by authorities and
governments, there is going to to a huge positive impact on most economies of Africa as the material
can be seen in many African countries and also is cheap and readily available in most countries across
the continent.
References
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Physical and mechanical properties,” Wood Sci. Technol., Vol. 39, pp. 448-459.
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4 Volume Wood, West Conshohocken, PA, USA.
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Wood Based Furniture Eco-Design. Materials and Design.
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polypropylene composites and their mechanical, thermal, and morphological properties,” J. Appl.
Polym. Sci., vol. 119, pp. 1619-1626.
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Proceedings of the International Bamboo Workshop and the IVth International Bamboo Congress,
Ubud, Bali, Indonesia, 19-22 June 1995.
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Economic Science, Diponegoro University.
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photosynthetic activity of different bamboo species growing in a Botanical Garden of Rome” Flora 203:
77-84.
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Janssen J A (2005) International Standards for Bamboo as a Structural Material. Structural Engineering
International, 15(1), pp. 48-48.
Janssen J J A (2000) Designing and Building with Bamboo. International Network for Bamboo and
Rattan Technical Report No. 29. Pp 207.
Jiang Z H (2007) Bamboo and rattan in the world. People’s Republic of China: China Forestry
Publishing House.
Kushwaha P K and Kumar R (2013) “Studies on water absorption of bamboo-epoxy composites: effect
of silane treatment of mercerised bamboo,” J. Appl. Polym. Sci., vol. 115, pp. 1846-1852, 2010.
DOI:10.4186/ej.17.1.61.
Lakkad S C and Patel J M (1980) Fibre Sci. Technol, 14: 319-322.
Liese W (1980) Preservation of bamboos. In: (G. Lessard A. Chouinard, eds). Bamboo Research in
Asia. IDRC, Canada. pp. 165-172.
Ljungberg L Y (2007) Materials Selection and Design for Development of Sustainable Products.
Materials and Design, 28, 466-79.
Qisheng Z, Shenxue J and Yougyu T (2002) Industrial Utilization of Bamboo. INBAR. Technical
Report No. 26.
Sattar M A, Kabir M F and Bhattacharjee D K (1994) Physical and mechanical properties of Bambusa
arundinacea, Bambusa longispiculata, Bambusa vulgaris and Dendrocalamus giganteus. Bangladesh
Journal of Forest Science 23: 20–25.
Shao Z P, Zhao L, Liu Y M and Arnaud C (2010) Differences in structure and strength between
internode and node sections of mosobambo, Journal of Tropical Forest Science 22:133-138.
Tara Sen H N and Jagannatha R (2011) “Application of Sisal, Bamboo, Coir and Jute Natural
Composites in Structural Upgradation” International Journal of Innovation, Management, and
Technology, Vol. 2, No. 3, June 2011.
42
Wooldridge M (2012) Booming Bamboo: The next super-material? BBC News Magazine. 3rd April
2012.
Yu Y, Tian G, Wang H K, Fei B H and Wan G (2011) Mechanical characterization of single bamboo
fibres and nanoindentation and micro tensile technique, Holzforschung 65(1),113–119.
Zhang Q S, Jiang S X and Tang Y (2002) Industrial utilisation on bamboo: Technical Report No. 26.
The International Network for Bamboo and Rattan (INBAR), People’s Republic of China.
43
DII-2017-013
Assessing the Reliability of Botswana Air

Transportation: Means for Sustainable Economic
Development
Sematho Iketleng1, Adewole S. Oladele2

Abstract
The importance of research on performance measurement to monitor operational, safety and reliability
aspects of air transportation for sustainable economic development has been long recognised.
Performance data is required to evaluate customer response to services and to maintain management
control of geographically disparate route networks. The purpose of this study was to assess the
reliability of air transportation in Botswana as a measure of passenger airline competitiveness. The
whole study examined the airline industry in Botswana, particularly the national flagship, Air Botswana.
The study was guided by the three primary research questions, which were inclusive of; the dynamics
resulting in schedule delays of air transport in Botswana; the advantages of a reliable air-transportation
system to the Botswana economy; and strategies that could be suggested to improve service reliability
and address future air transportation issues in Botswana. The study looked into the components that
impact on-time performances of the carrier, by adhering to the 15 minute on-time performance (15OTP)
metric. The results from the study acknowledged the null hypothesis that air transportation in Botswana
was indeed reliable, and this statement was upheld by the way that 69.8% of the departure flights were
on-time, and 71.2% of all landings were also on-time for the period running from June 2014 – August
2014. The key findings of this research were that air transportation is reliable in Botswana. The study
made a couple of recommendations for implementation that would help the passenger airline
competitiveness by comparing operational performance both within the airline and in relation to the
performance of other airlines with focus on the impact which regulations have on general sustainable
infrastructure development and investment in Botswana.
Keywords: air transportation, Botswana, reliability, sustainable development

5
1. Introduction
Performance management for competitiveness of passenger airlines has become increasingly important
in aviation as managers look for ways to cope with the complexities of their environment. Markets have
become more competitive, the industry has experienced asymmetric shocks and there are increased
pressures to operate within more stringent social and environmental restrictions. The air transport
system of a nation needs to provide safe, reliable, efficient and completely coordinated operations. This
1Department of Millennium Development Practice, School of Graduate Studies, University of Botswana, Gaborone, Botswana;
[email protected]
2Department of Civil and Environmental Engineering, Botswana International University of Science and Technology, Palapye,
Botswana;[email protected]
44
will best address the issues of competitiveness of passenger airlines as well as enhance levels of
administration and expense, in a manner which will support government systems for financial and social
advancement whilst being ecologically and monetarily sustainable (Visser et al., 2015). The continuing
speed of change and rapid growth has resulted in a complex array of challenges for passenger airline
managers. These include increasing congestion of infrastructure, safety, sustainability, environmental
and social opposition to aircraft operations, airport and air traffic privatization and commercialization,
as well as alliances and mergers between airlines, deregulation of markets, the operation of new larger
aircraft and the continued rise of low-cost carriers. Such pressures have led managers, planners and
regulators to use a variety of performance management techniques to measure and manage airline
performance (Francisa et al., 2005).
Fleet management also plays a significant role, as generally aircrafts got hauled out of powerless
markets and sent to stronger routes relying upon the interest. Since aircrafts flew various routes every
day, changing the season of one flight would compel altering different flights for that solitary aircrafts.
That would alter connections for a huge number of passengers. Weather conditions also contribute
significantly as time delays are frequently a consequence of monstrous climate, whereby travellers
discover themselves helpless before unforgiving climate that would not clear in days. At most times,
numerous flights are cancelled on days when awful climate grounds aircrafts; and on days when
tempests clear, however carriers would attempt to recoup (McCartney, 2014).
Botswana being a diminutive sparsely populated country has only one airline that dominates, the
national carrier, Air Botswana. It holds the monopoly in the commercial domestic sector flight
operations, but not regional flights. The aviation market in Botswana currently is very much sluggish,
with a development rate that is proximately comatose. This engenders a very jagged competition for
market share, which Air Botswana vies for belligerently with regional airline giants like South African
Express and South African Regional Air Link, with which regional sector routes are communal (Dahwa,
2014).
Airport operations scheduling with an airline are ordinarily in light of extremely complex streamlining
applications, which merged airport terminal landing and departure schedules, aircraft fleet distribution,
and in addition crew scheduling (Hessburg, 2015). The reliability of air transportation management,
characterized as the contrast between the scheduled time of arrival and the observed landing time, is
interpreted into financial efficiency (Sherry, 2011). In order for the dependability of air transport to be
assessed, certain perspectives need to be given consideration. The changes, withdrawals, and re-
bookings, some of which change plans by hours, can create a wide range of issues for customers. The
progressively outstretching influences of these progressions for the most part groups pressing results as
rental-car reservations and lodgings need to be re-booked regularly at higher rates. Mergers and
partnerships contribute greatly to these disruptions as some passenger airline carriers have had to re-
schedule on account of the turbulence experienced in the business by converging with different carriers,
consequently disturbing their past schedules.
This study strived at the assessment of the reliability of air transport in Botswana, looking mainly at the
on-time performances and causes of delays and the predicaments they posed to the reliability and
competitiveness of air transport in Botswana.
The extent of flight disruptions was calculated by denotes of a schedule/dispatch reliability scale, which
was the rate of recurrence of incidents that a flight was away from the gate on time, and was
conventionally an analysis of the scheduled departures or a given aircraft type. The decision to consider
45
delays relative to published schedule was primarily made because it is by far the easiest to quantify, and
is the most commonly adopted metric in the industry.
The specific objectives of the study were:

1. To identify and assess the dynamics resulting in schedule delays of air transport in Botswana.
2. To suggest strategies that would improve service reliability and address future issues for
competitiveness of Botswana passenger airline.
Statement of Hypothesis
1. Hypothesis 0 (H0): Air Botswana was unreliable.
2. Hypothesis 1 (H1): Air Botswana was reliable.
The study contributed to existing knowledge and added to the learning with respect to the configuration
of a reliable air transportation framework and assessment in Botswana, as very little research had been
done in this field especially in Botswana. A tremendously required interrogation helped by giving
crucial data on the sorts of approaches that had been reinforced by distinctive countries that could work
in Botswana, the structures and the lessons learnt in attaining to a very solid and practical air transport
framework to enhance the competitiveness of passenger airline for sustainable development.
2. Literature Review
2.1 Air transportation in Botswana
A reliable airline flight schedule basically addresses effective employment of accessible assets
and additionally enhances on-time performances, bringing about the dedication of an airline to
offer a competitive and reliable air transport administration (Air Botswana, 2015). A colossal
open door lies for the carrier because of the Diamond Park, which has displayed an opportunity
to catch new world markets as there will be a noteworthy number of precious stone merchants
going all through Botswana. Hence the need to keep on enhancing the operations and have as
of late extended the freight offices and handling space, situating them well (Dahwa, 2014).
While a portion of the reasons for delays, for example, climate conditions are outside the ability
of control of the airlines, past research demonstrated that a few reasons for postponements are
owing to the network and scheduling design decisions of a carrier. Case in point, while a carrier
builds up its hub-and-spoke network, it commonly does not represent the blockage externality
forced on different airlines working out of the same hub stations (Sohoni et al., 2008). The
demand for transport therefore is a derived demand (Visser et al., 2015). On time performance
is a measure of the ability of transport services to be on time. The ability of different airlines
to meet on time performance statistics depends on the degree to which they are affected by
external factors. To calculate the percentage of vehicles on time, comparison is needed with
the timetable. A comparison is often completed for arrival time rather than departure time, but
both are common. Departure times are normally more on-time than arrival times, as incidents
and breakdowns occur that reduce the on-time performance. When the comparison is made
between the timetable, and the actual arrival or departure time, a rule is applied to determine
how much of a deviation is permitted, which was 5minutes for purposes of this research
(Belobaba et al., 2013).
46
2.2 Passenger airline operations, reliability and competitiveness
Airline schedule development still remains a standout amongst the most difficult forecast
activities for any airline. An airline schedule includes a rundown of flights and indicates the
origin, destination, scheduled departure, and landing time of every flight in the carrier's system.
An indispensable element of the schedule development activity is the estimation of flight block-
times. A flight block-time is characterized as the aggregate elapsed time between the time an
aircraft pushes back from its departure gate and arrives at its destination gate. The block-time
is inclusive of numerous components including taxi-out time, en-route time and taxi-in time.
Every one of these parts is liable to diverse reasons for deferral and aggregate block-time delay
is the whole of all individual segment delays (Sohoni et al., 2008).
Significant part of the reliability of any airline is the development of its network timetable
given a list of guidelines to be worked in an airline network. These include; number of flights
to be offered on every course, non-stop versus multi-stop is indispensable. Increments in the
recurrence of flights on a course can enhance the expediency of air travel for commuters,
bringing about high reliability levels (Sohoni et al., 2008). Factors that impact the reliability of
airlines are very critical in determining the on-time performance rate of airlines. The
information is being gathered and used to identify performance improvements that can be made
and to highlight specific operational problems on certain sectors. Performance data that is often
collected in real time is to be reviewed by an operations department and used to manage flight
operations. It is also reviewed by network planning analysts to feed medium and long-term
planning decisions, enabling management to react to market changes swiftly and survive
(Francisa et al., 2005).
The most visible delays that are noticed by passengers are once the airplane arrives. It usually
taxis to the entry gate, and upon arrival that is when these are eminent. At times, the delay
maybe caused by the wait for ground team to arrive and open an entryway or for the end of the
turmoil created by another plane's maintenance delay. Indeed, even champion airliners that are
on top of their game, keep some of their most valuable staff in-operational, leave late, and have
billions of their finances lost in chronically underutilized airplane and other massively lavish
resources (O'Brien, 2015).
The development of airline timetables is an exceptionally complex activity which considers

various diverse elements internal and external to airline operations (Hafner, 2008). Enhancing
the consistency of airline timetables has been a steady attempt, especially as system
impediments develop with an ever-expanding interest. Airline schedules need to be impervious
to disruptions in the system, including ground deferral plans and severe climate (Hafner, 2008).
Regardless of how unrivalled the schedule map is, sadly airlines every now and again
experience different unforeseen occasions called disturbances, on day by day operations that
counteract them to work as arranged. The manner in which airlines plan their network systems
has a huge effect on overall passenger trip delay. The ratio between direct and connecting
itineraries; the time between banks at the hubs; the regularity of service; and the selection of
aircraft size and target load factor assume a huge part in deciding travellers’ trip reliability
(Sherry, 2011).
47
3. Methodology
The techniques explored during the initial research after both the analysis of literature, which
enhanced the comprehension of realistic and useful processes for researching on the reliabilities
and competitiveness of air transportation as well as new knowledge in research and descriptive
strategies are hereby being presented. Moreover, in this section a portrayal of research
methodology experiences was outlined, as well as a summary of the approach.
3.1 Research design

For purposes of this research, quantitative research techniques were utilized for information
gathering. The reason being the way quantitative examination answers the inquiries of "how
much, how many, how regularly, and to what degree", and the aim of this research was to
quantify the reliability of air transportation by taking a gander at the frequencies in delays by
breaking down statistics. Quantitative techniques were best for this sort of research as findings
from quantitative examination can be prescient, informative, and affirming. The research
approach included the gathering of information so that data could be analysed and subjected to
measurable treatment so as to bolster or nullify alternate knowledge claims. Qualitative
techniques were also utilized to add a humanistic touch to the examination, as understanding
is sought after by taking a comprehensive point of view/ approach, instead of looking at an
arrangement of variables only.
3.2 Population and sample size

The population of this research was the national carrier’s, Air Botswana’s total 116 flights per
week, for 12 weeks, as it confronts firm rivalry from other regional airlines (South African
Express and South African Regional Air-link) for the Botswana business shown in Table 1.
Table 1: Air Botswana flight records (Source: Feed data 2014)

Air Botswana Inbounds per Outbounds Total per week
flights week per week
Total 58 58 116
The whole population was used as it was of a small size. The target of sampling is to give a
logical method for empowering the data collection and processing parts of the research to be
done whilst guaranteeing that the sample gives a decent representation of the populace, i.e. the
sample is representative. The sample was chosen using stratified random sampling as it helps
with more precision regarding information inside the subpopulations about the variables we
are studying. The subpopulations created were: 1. On-time flights cluster; 2. Delayed flights
cluster and 3. Non-scheduled flights cluster.
3.3 Data collection methods

For purposes of this examination, the primary source of information to gauge dependability
was through direct observation. The comparison of real-time statistical data alongside the flight
schedules, together with statistical analysis and participation were utilized as tools for gathering
48
information and a touch of documentary review. This was resultant in a mixed method design
of both qualitative and quantitative data collection methods.
This strategy for information gathering was done amid the three months’ internship position
with the Civil Aviation Authority of Botswana's, Air Traffic Control Centre at the Sir Seretse
Khama International Airport (S.S.K.I.A) in Gaborone. During this time, the researcher was in
charge of analysing statistical data of all aircraft movements within the Botswana airspace.
Airlines are closely monitored on their on-time performance. Therefore, the airlines use a rule
that aircrafts that depart/arrive within 15 minutes of their scheduled departures/arrivals are on
time. The 15-minute rule for on time performance is commonly applied throughout the airline
industry. Airlines typically perform well when their on-time performance reaches 90%.
The quantitative data collected was the through flight plans that Air Traffic Controllers used,
as aircrafts enter and depart the Botswana Flight Information Region (FIR) in real time. Within
these flight plans was the full data of each aircraft that used the Botswana airspace with regards
to: Date, registration, call-sign, type of aircraft, operator, departure/arrival point, route,
destination, scheduled time, flight level, number of passengers on board including crew
members, fuel capacity, flight level etc. The real times of arrival and departures were measured
against the scheduled times, to get the on-time performance results. From working alongside
Air Traffic Controllers, the causes of delays were also established.
This evidence assisted the researcher in determining which incidents occurred frequently and
could mainly affect the reliability rating of the airline. The data collected during that time also
supported the researcher in comprehending which of the aircrafts within the Air Botswana fleet
triggered the delays recorded, leading to an enquiry in the maintenance routine of the company.
Collectively the information would assist the airport planners together with the airline
management on exactly how best to condense delays with the results given.
3.4 Validity and reliability

Validity is portrayed as the extent to which a research study measures what it plans to gauge.
It could likewise be portrayed as the extent to which an assessment tool produces steady and
reliable results when applied to the same specimen. Drawing in numerous techniques, for
example, observation, and documentary reviews prompted more substantial, dependable and
different construction of realities. Airline reliability was measured using the 15 minute on-time
performance (15OTP) metric, also called the airline dependability statistic. This was done by
measuring the real times of arrival and departures against the scheduled times, to get the on-
time performance results. Therefore, the selected methods for information accumulation were
thought to have the capacity to empower the researcher to answer the examination inquiries
brought forward.
3.5 Data analysis

Data analysis covered the procedure of deliberately applying measurable strategies to depict
and delineate, consolidate and recap, and assess information. Different analytic methods gave
49
a result for drawing inductive inferences from data and distinguishing the signal (the
phenomenon of interest) from the noise (statistical fluctuations) present in the data. Diverse
sorts of instruments result in distinctive sorts of information, for instance the survey could have
been utilized to evaluate the human recognition reliabilities of the airline business in Botswana
and the observation technique measured the constant episodes as they happened and the real
time of these occurrences.
Statistical methods that were utilized to investigate the quantitative information that was
gathered were descriptive and inferential statistics. The descriptive statistics were utilized to
report what happened with the cluster sample, and the inferential statistics were utilized to sum
up the outcomes to the more extensive populace. With the qualitative investigation of the
information gathered, participative observation was the measure that was utilized as there was
a need to lessen an extensive variety of data into a more restricted set of attributes with
something in like manner.
4. Results and Discussion of Findings

The principal motivation behind this study was the investigation of the reliability of air travel
in Botswana, taking a gander at the on-time performances and reasons for deferrals and the
problems they stance to the unwavering quality of air transport in Botswana. The direct
observation technique for information accumulation was utilized to gather data relating to on-
time performances of airplanes from the air terminal, through data entry into the billing system
as flying machines were taking-off and arriving at the airport terminal progressively in real-
time. Microsoft Excel was the fundamental software tool that was utilized to capture and break
down information, and the presentation of the discoveries of the exploration was further spoken
to by the utilization of percentages and frequency tables as shown in table 2 and figure 1 below.
Table 2: Percentage of delayed and on-time arrivals and departures at S.S.K.I.A

Percentage Of Delayed And On time Arrivals And Departures At S.S.K.I.A
Flight Delayed On time Delayed On time Non - Non -scheduled
arrivals arrivals departures departures scheduled departures
Month arrivals
June 24.6 74,19 21.59 77.97 1.21 0.44
July 20.56 78.23 17.72 80.31 1.21 1.97
August 30.53 62.6 36.64 57.25 6.87 6.11
50
90
80
70
60 LEGEND
PERCENTAGE
50 June
July
40 August
30
20
10
0
Delayed On time Delayed On time Non - Non -
arrivals arrivals departures departures scheduled scheduled
arrivals departures
FLIGHT STATUS
Figure 1: Percentage of delayed and on-time arrivals and departures at S.S.K.I.A
The illustrations above show the aggregate sum and percentage of delayed and on time both
arrival and departures of Air Botswana at the S.S.K.I.A during the months of June, July and
August of 2014. Table 2 and figure 1 basically delineate how flight-statuses fared out amid the
three-month period. It could be seen that on-time entries (which are landings or takeoffs inside
of the 5-minute time-bracket; being 5minutes preceding scheduled time or 5 minutes after
scheduled time) in June had the lion's share with an aggregate rate of all flights, with a 38.9%
rate of event. This was trailed by on-time takeoffs with 37.2%, trailed by delayed arrivals with
a 12.6% rate of event; deferred flights with 10.3%, followed respectively by non-scheduled
arrivals and non-scheduled departures with both 0.8% and 0.2%.
Accordingly, the month of July witnessed a few changes with regards to the on-time
performance rates. A 4.04% increase with the on-time arrivals which was a worthy move as an
increase in performance demonstrates a sign of progress in the framework; a 4.04% decrease
likewise with the delayed arrivals, which is a decent sign of further developments within the
airline management; a further 3.87% decline with the delayed departures which is additionally
a move in the right direction, as declines in delay percentages means that management is trying
their best to escalate on-time performance rates. The non-scheduled arrivals remained stagnant
at 1.21%, which is a possibility, since defects are always expected in the system.
August was an unusual change for the delayed arrivals, as there was a 9.97% increment in the
amount of deferred Air Botswana landings in that month. This is because the month of August
witnessed the removal of one of the aircrafts from the schedule, for maintenance reasons, which
was one of the top performing aircrafts with regards to on-time performance. On-time arrivals
51
encountered a 15.53% decline, and this demonstrates an unreliable stream within that grouping,
whilst delayed takeoffs were hard-hit with an 18.92% increment with their delayed flights. A
23.06% drop of on-time takeoffs, a devastating increment of 5.66% in their non-scheduled
arrivals and another 4.14% increase in the non-scheduled departures were observed. Figure 2
shows the average incidents per flights departure to different destination from S.S.K.I.A
Figure 2 is consequential to delayed averages that are complimentary to the on-time

performances, i.e. higher on-time performances result in lower delayed averages and vice-
versa. So the main trend of figure 2 is that, as the on-time performances progress, the delayed
and non-scheduled performances regress. Reliability ought to be a pioneer at this air terminal
since the activity is not a big deal. Since flights to all destinations are not accessible every day,
it would just be reasonable to give a rough estimation of the limit of the terminals airspace on
a week by week and consistent schedule.
120
100
80
DELAYED
60
ONTIME
40 NON-SCH
20
Kasane Maun Ftown Joburg Harare Lusaka Capetown
Figure 2: Average incidents per outbound flight
Figure 3 shows how the reliability margins are distributed. For the 80% - 90% margin, we see
that most of the highly reliable flight departures are the morning international departures, which
are said to be the cash-cows. BOT331, the morning flight to Cape-town is leading the way with
an on-time performance of 96.3%, followed by the flights to Johannesburg, Lusaka, and
Johannesburg with 94.12%, 92.86%, 88.24%, and 85.29% respectively. Maun follows them
with an on-time performance rate of 81.08%, being the only domestic route with such a high
rate from S.S.K.I.A. The 70% - 80% margin also constitutes mainly international flight
departures, with the highest being the Francistown early morning flight at 79.37% followed by
five flights to O.R. Tambo international airport in Johannesburg and the morning flight to
Harare with a rate of 71.43%.
52
BOT331
BOT274
BOT272
BOT264
BOT229
BOT227
BOT225 Legend
BOT223
BOT221
BOT217 Delayed
BOT209
BOT207 On-time
BOT205
Non-sch.
BOT203
BOT201
BOT044
BOT042
BOT036
BOT034
BOT032
BOT024
BOT022
0 10 20 30 40 50 60 70 80 90 100
Percentage
Figure 3: Flight status percentages per outbound flight from June- August 2014
Figures 1, 2 and 3 obviously demonstrated that majority of the Air Botswana flights are on-
time. It could then be presumed that air transportation in Botswana is reliable, and this
statement is upheld by the way that 69.8% of the departures were on-time, and 71.2% of all
landings were on-time for the period running from June 2014 – August 2014.
4.1 Testing of Hypothesis

For this study, the hypothesis was tested utilizing the Pearson chi-square technique for testing.
The chi-square testing method, is mainly used when researchers are interested in comparing
observed data, with data that they expect to obtain according to a specific hypothesis. The study
was predominantly in view of two speculations.
1. Hypothesis 0 (H0): Air transportation in Botswana was unreliable.

2. Hypothesis 1 (H1): Air transportation in Botswana was reliable.
53
And the formula that was used to calculate chi-square was: X2 = (O – E) 2
E (1)
Table 3: Chi - Square analysis result

Category Observed (O) Expected (E) Chi-squared (X2)
June ontime arrivals 184 248 16.52
June ontime departures 177 227 11.01
July ontime arrivals 194 184 0.54
July ontime departures 201 177 3.25
August ontime arrivals 164 194 4.64
August ontime departures 150 201 12.94
From the table above, it could be said that the Chi-square statistic was 48.9, with regards to
this analysis. The result was significant at p < 0.05, with a level of significance of 11.07.
Therefore the results rejected the null hypothesis, that Air Botswana was unreliable for the
period June 2014 – August 2014, thus acknowledging the alternate hypothesis. This was for
the reason that there were other factors involved with regards to maintaining reliability and
improving the airline’s on-time performances. So with everything taken, taking a gander at the
Chi-square test, Air Botswana could be said to be reliable, considering both landings and
takeoffs. Though the airlines on-time performances may not have been at the ideal 90%+ score
during those three months, it created room for much improvement and growth.
The results from the study revealed that at the point when the study was begun, the null
hypothesis H(0) expressed that Air transportation in Botswana was unreliable. A chi-square
test was utilized to determine whether this statement was genuine or not, and it came out that
the null hypothesis was rejected therefore acknowledging the alternative hypothesis which
stated that the air transportation in Botswana was indeed reliable.
5. Conclusions and Recommendations

The essential objectives of this paper were to assess the reliability of air transport in Botswana,
looking at schedule adherence or on-time performance, which refers to the level of success of
the airline service with regards to the published schedule. Botswana is such a little economic
system at the heart of the Southern African region, which suggests ideally that it ought to be
the core of aviation in the region. A look into the ways in which the airline could be assisted in
improving its on-time performance rates was also undertaken. The study was guided by the
four primary research questions, which were inclusive of; the dynamics resulting in schedule
delays of air transport in Botswana; the relationship between delays and aircraft type; the
advantages of a reliable air-transportation system to the Botswana economy; and strategies that
could be suggested to improve service reliability and address future air transportation issues in
Botswana. The study additionally looked likewise into the components that impact ontime
performances of the carrier, which was the measure of reliability utilized for purposes of this
research.
54
At the point when the study was begun, the null hypothesis H(0) expressed that Air
transportation in Botswana was unreliable. A chi-square test was utilized to determine whether
this statement was genuine or not, and it came out that the null hypothesis was rejected
therefore acknowledging the alternative hypothesis which stated that air transportation in
Botswana was indeed reliable. Figures 1 and 2 obviously demonstrated that majority of the Air
Botswana flights are on time. It could then be presumed that air transportation in Botswana is
reliable, and this statement is upheld by the way that 69.8% of the departures were on-time,
and 71.2% of all landings were on-time for the period running from June 2014 – August 2014.
From the above, it could be concluded that the airline is truly pulling up its operations to be
competitive by attempting to surpass the 69.8% score. It is recommended that in the future, as
it is clear that the majority of the expenditure goes into trying to maintain the aircrafts.
Verifying that non of the scheduled flights are disturbed because of maintenance issues is also
key, except circumstances beyond the airline’s control like for instance the weather.
These are the recommendations that would help the passenger airline competitiveness by
comparing operational performance both within the airline and in relation to the performance
of other airlines.
1. First and foremost, the airline ought to attempt and enhance their customer service as
these are the frontline staff that interface straightforwardly with their clients and have
the chance to characterize how your clients see your company's products or service
2. The airline ought to make the business turnaround proposal accessible freely; as Air
Botswana are a government-linked company and the national flagship.
3. Keeping the present organisational structure and altering the duties of individuals within
the Air Botswana system, would be better than an absolutely new structure bringing
about cutbacks.
4. Airline managers should compare operational performance both within the airline and
in relation to the performance and competitiveness of other airlines. Inter-organisational
learning is one way in which airlines can try to meet the challenges facing them.
Acknowledgment
This is to acknowledge Civil Aviation Authority of Botswana for granting research permit for
the direct observation information gathered and the consent to gather information during the
research study. The issue of authorship was likewise looked into as all people that made a
noteworthy commitment to the research are hereby acknowledged.
References
Air Botswana (2015). Air Botswana introduces new schedule. Retrieved January 3, 2015, from
The Voice Newspaper: http://www.thevoicebw.com
55
Belobaba, P., Odoni, A., and Barnhart, C. (2013). The global airline industry. Chichester:
Wiley
Dahwa, B. (2014). Air Botswana CEO answers questions about new role. (T. B. Waterhole,
Interviewer)
Francisa, G., Humphreys, I., and Fry, J. (2005). The nature and prevalence of the use of
performance measurement techniques by airlines. Journal of Air Transport Management 11,
207-217
Hafner, F. (2008). Improving Airline Schedule Reliability Using a Strategic Multi-Objective

Runway Slot Assignment Search Heuristic. Florida: University of Florida.
Hessburg, J. (2015). Flight disruptions: Evaluating schedule reliability. Retrieved February

21, 2015, from Aviation Pros: http://www.aviationpros.com/article/10388611/flight-
disruptions-evaluating-schedule-reliability
McCartney, S. (2014). Why Airlines Reschedule Flights More Often and More
Drastically. Retrieved August 18, 2014, from The Wall Street Journal.
http://www.wsj.com/articles/SB10001424052702303496804579364973804887940
O'Brien, J. (2015). System Availability. Retrieved April 29, 2015, from Maintenance Assistance
CMMS: http://www.maintenanceassistant.com/blog/how-do-maintainability-and-reliability-
affect- availability/
Sherry, L. (2011). Modeling Passenger Trip Reliability:Modeling Passenger Trip Reliability:

The Journal of Air Traffic Control :Volume 53, #3.
Sohoni, M., Lee, Y.C., and Klabjan, D. (2008). “Block time estimation and robust airline
scheduling”. AGIFORS Online , 2008.
Visser, K., Mooketsi, A., and Motatsa W. (2015). Transport Economics and Logistics
Management. Mafikeng: North West University.
56
Integrative Infrastructure Planning and
Management
57
DII-2017-008
An Investigation into Areas of Dissatisfaction in the South
African Residential Sector Post-Construction: A Case of
Gauteng Province
Chipozya Kosta Tembo-Silungwe1, Richard Cross2, Mulla Muhammed2,
Nyalunga Sikulile2
Abstract
Quality is one of the measures of a satisfied client and one of the parameters for gauging satisfactory
project delivery. Satisfactory quality is normally achieved by adhering to a design or industry standard
and specifications. However, in the South African construction industry the residential sector is the
least satisfactory as reported by the Construction Industry Development Board (CIDB). This research
established the areas of client dissatisfaction as a starting point for improving quality in the residential
sector from the clients or end-users perspective. A questionnaire survey comprising closed and open-
ended questions was used in seven residential Estates targeting medium and high cost houses that were
built in the last 10 years to determine areas of dissatisfaction. The identified areas of dissatisfaction
included poor durability of design, poor aesthetics measures, poor quality of materials, lack of attention
to detail due to leaks and dampness. The identification of areas of dissatisfaction is helpful for
contractors and designers to deliver satisfactory buildings to client(s).
Keywords: client satisfaction, quality, residential sector
1. Introduction
Traditionally one of the parameters of client satisfaction is the high quality of the finished construction
product. The perception of quality varies from client to client and possibly from consultant to consultant
depending on discipline. The view for perception of quality could differ based on different parameters
such as aesthetics, function, durability, and cost metrics. The Construction Industry Development Board
(CIDB) report of 2011 in South Africa pointed out that the residential sector had the highest number of
dissatisfied clients compared to other sectors such as the commercial and industrial sector. In 2012,
R50bn was used to rectify substandard housing projects throughout South Africa. Additionally, Emuze
and Mhlwa (2015) point out that quality in the construction sector generally needs improvement.
Therefore, the quality of construction in the South African construction industry needs improvement.
Quality may be affected by numerous factors throughout the life of a project. These factors therefore
need to be determined to provide a basis for quality improvement. The research focussed on the
residential sector within the South African construction industry to determine the factors that affect the
quality post-construction in Gauteng province.
1School of Construction Economics and Management, University of the Witwatersrand, 1 Jan Smuts; Lecturer, Department of
Construction Economics and Management, Copperbelt University; P.O.Box 21692 Kitwe; [email protected].
2School of Construction Economics and Management, University of the Witwatersrand, 1 Jan Smuts.
58
Quality within the construction industry has always and will always be a problematic issue, especially
when the satisfaction standards of the client are involved, as well as the reputation of the organisation
providing the service (Mazher, Gharleghi and Chan, 2015). Identifying and satisfying the needs of
clients is critical for the existence and competitiveness of firms in the construction industry (Cheng,
Proverbs, and Oduoza, 2005). Quality for client satisfaction is normally associated with the standard
and performance of the product. Ahmed and Kangari, (1995), argue that quality is one of the important
forces leading to organisational success and company growth in national and international markets. If
an organisation is able to produce quality work at all times, their clients will be satisfied, their reputation
will grow and they will be able to manage and to build large client bases to maintain a strong
organisational profile (Ahmed and Kangari, (1995). Mazher et al, (2015) suggested that quality in a
construction company is the key focus for competitiveness. Considering the important role quality plays
in satisfying the client and the survival of the construction firm, establishing areas of departure for
quality in the residential sector is justified. Furthermore, most small to medium scale contractors in both
developed and developing countries usually start-up by engaging in residential construction as they
build capacity and go on to build more complex structures. This study focussed on the clients’
perspective to understand what they need post-construction in their dwellings to be satisfied.
The following sections give an understanding of the concepts of quality, client satisfaction, quality
management systems and identification of factors affecting quality. This is followed by the description
of the methodology used in the study. A discussion section that combines findings and the analysis and
gives an interpretation of the data. Conclusions are then drawn from the findings.
2. Quality
Opoko et al. (2016) explain that there is no generally accepted definition for quality in terms of the
home construction. Quality can be seen as a rather variable factor and refers to how well the house
satisfies the owner's requirements. It also implies that the product must show elements of excellence,
and above standard components when measured against other products or benchmarks. A study
conducted by Rad et al, (1998), does not define quality in a single sentence but rather as a set of attribute
factors of what project quality is. Quality may include aesthetics, amount of defects, time used until
completion, fitness for intended use, backed up with sufficient guarantees, economical running costs,
and acceptable durability (Rad et al, 1998). The aforementioned factors may be easily measured or
interpreted post-construction. They may also result in a high quality project should they be considered
during design and construction phases. Al-Naked (2016) states that quality is complex,
multidimensional, and prone to personal interpretations. This statement is a representation that quality
can have different definitions for different people in different disciplines or spheres of life, depending
on the complexities or emphasis of the different spheres of society or disciplines. It is multidimensional
in the sense that it features not only in the construction practice but also in various other practices.
Opoko et.al. (2016) set out a wider definition of quality stating that quality should include longer-term
sustainability in technical, economic, socio-cultural, and environmental considerations. This
interpretation means that housing quality must look after the wellbeing of its immediate occupants and
those living around it to make it a whole product.
Hoonakker, Carayon, and Loushine, (2010) defined quality as several characteristics instead of one
exact characterisation. Characteristics of quality may include features such as ‘meeting the expectations
of the client’, minimising rework and defects’, ‘ability to create future business’, conformance to
relevant standards and codes’, and ‘completing the project on time and in the prescribed budget’
(Hoonakker et al, bid). This reiterates that it is difficult to refine quality into a set definition and rather
59
that it is preferable that several criteria are met before a project can achieve high quality as a whole.
Karna (2004) defines quality in terms of how it affects client satisfaction that is the product meets and/or
surpasses the client’s needs and expectations for it. This creates a platform that means quality cannot
be exactly understood as a set definition or prescribed standards but rather that the quality is an
interpretation (to a certain degree) of what the client desires or experiences. Therefore, the client defines
quality using various parameters of interest implying that the perception of quality for different clients
may differ.
3. Client Satisfaction
Client satisfaction can be seen as a key performance indicator in any industry and therefore it is
important to know what it is and how it can be achieved. Customer satisfaction may be described as a
function of quality and expectations (Kärnä, 2004). The client looks for quality of the construction or
the final product to determine the extent to which the contractor has met the requirements of the client.
Clients tend to compare their experience of a product with some sort of norm or standard in the industry.
This sort of experience has also been found to show a big difference in loyalty of clients to companies
when they are slightly satisfied and those that are completely satisfied (Kärnä, 2004). It is therefore a
vital aspect for companies to know and attempt to measure their clients’ satisfaction in order to improve
performance. In an attempt to understand client satisfaction, parameters, features, or characteristics need
to be carefully examined. Lovaglio (2004) identified numerous parameters for valuing client
satisfaction, such as disconfirmation of expectations, distance from ideal service, overall satisfaction,
price for fixed quality, and quality for fixed price. One of the main factors, amongst other factors, in
the client satisfaction attributes is that of quality of construction, (Chinny, 2012). According to the
CIDB, (2011) the residential sector constitutes the highest number of clients that are either dissatisfied
or neither satisfied or dissatisfied with the quality of work produced by contractors. Only around 55%
of clients are fully satisfied with the work produced. Karna (2004) believes that the problem in
construction is that it focusses on the problems of the contractors and with implementation during
construction rather than looking to add value to the client’s desire for the project. Quality may therefore
be improved drastically if one looks at it from the client’s perspective (Bowen et. al., 2012). Client
satisfaction is determined based on a combination of characteristics, which influences the overall
satisfaction of the client.
4. Factors Affecting Quality

Rad et al. (1998) and Hoyle (2001) identified different factors that affect quality in the construction
industry. Common factors that are present in both studies include aesthetics, value for money, ability to
perform, inherent defects, time used to complete, ability to exceed expectations, and running costs. Jha
and Iyer, 2006) identified the following as factors that affect quality:
● The use or incorporation of unskilled labour force within the project itself.
● Corruption of the major professional players involved in that particular project.
● Lack of planning, leading, organising, coordinating, regulating and controlling within the site by
the site manager.
● The provision of inadequate works information by the Architects and engineers.
● The lack of clear progress evaluation concerning problems that occur towards obtaining the goals
set.
● Ethical, political and legislative interference
60
The CIDB (2011) have identified that some main factors that act as barriers to achieving high quality
projects are related to construction and procurement. These factors are as follows:
● Design related factors- Issues with architectural or structural design resulting in poor quality
● Procurement related factors- The use of an inappropriate form of procurement which results in
poor quality
● Construction related factors- Capability of contractor and materials used in construction which
results in poor quality
Tables 1 and 2 summarise the factors identified from literature. It appears that there are more factors to
consider during the pre-construction phase for quality as shown in Table 1 compared to Table 2. This
means that the majority of the quality issues should be guarded against before construction.
A study conducted by Forcada et al. (2014) in Spain, revealed that some of the common defects or
barriers to quality in the residential sector, are incorrect fixtures and fittings in bathrooms and kitchens,
tile grouting, failure to apply a second coat of painting, unevenness of floors and walls, contractors
leave a mess which is not presentable to the client, stains on walls and floors, and a few minor cracks
in the walls. Good quality is not always achieved in the construction industry therefore it would be
insightful to understand some of the quality management systems in place.
Table 1: Factors affecting quality during construction

Sources: Authors/boards/standard
Factor affecting quality during Construction CIDB ISO 9000 Palaneeswaran Jha et al. (2006)
(2011) et al. (2006)
The use or incorporation of unskilled labour force within X
the project itself
Corruption of the major professional players involved in X X
that particular project
Lack of planning, leading, organising, coordinating, X X X X
regulating and controlling within the site by the site
manager.
The provision of inadequate works information by the X X X X
Architects and engineers
The lack of clear progress evaluation about problems that X X X X
occur towards obtaining the goals set.
Ethical, political and legislative interference X X X
Poor constructability in essence X X X X
Design related factors X X
Procurement related factors X
Construction related factors X X X
Table 2: Factors affecting quality post construction

Sources: Authors/boards/standard
Factor affecting quality: (CIDB (Rad et al. (Palaneeswaran (Jha et al. 2006)
ISO9000
Post Construction 2011) 1998) et al 2006)
Finishes X X X
Aesthetics X
Time X X X
Economical running costs X X X
Acceptable Durability X X X
61
5. Quality Management Systems in the Construction Industry
Quality management systems in the residential sector have received considerable attention because of
defects. The impact of defects is tremendous to the occupants, whether they are the owners or tenants
of the house. The factors behind housing defects always lead to occupant’s dissatisfaction while
satisfaction is the main key towards the customer’s loyalty behaviour (Thaddi et al., 2015).
Additionally, apart from defects in a building the quality of the building services provided in completed
houses influences the customer satisfaction (Ibid). ISO 9000 Quality management Systems (QMS) are
the systems adopted and incorporated within organisations, in this case construction organisations, to
help these organisations function as well as to also conform to the standards specified in the design
document, in assuring the best quality for the construction projects is produced. ISO 9000 QMS
standards have been widely used in the construction industry in recent years as in all industries of the
world (Turk, 2006). In addition to this, building regulations, codes and standards play a vital role in
achieving quality. While standards and regulations are normally mandatory in most construction
industries, adoption of quality management systems such as ISO 9000 is generally not mandatory.
Therefore, adoption of such a management system could account for differences in the quality of
products between companies that employ such standards and those that do not. Notwithstanding, most
construction industries have standards that must be followed to ensure that a minimum quality standard
is maintained in the construction industry. In the South African construction industry the National
building regulation and building standards Act of 1977 is applicable. Others include the Health and
Safety (SANS10400).
6. Methodology
The study was cross-sectional in nature using a self-administered questionnaire. The questionnaire had
closed and open questions resulting in the collection of both qualitative and quantitative data. Open-
ended questions were used to understand the client’s perspectives while the closed questions were
mainly used to evaluate how wide spread practices are (Bryman and Bell 2015). Residential
developments in the Gauteng province built at least in the last ten years were targeted. These included
Blair Atholl, Eagle Canyon Estate, Jackal Creek Estate, Waterfall Estate, Blue Valley Golf Estate,
Waterfall Equestrian Estate and Kyalami Estates. Ten residential dwelling were targeted in each
development, as the houses were homogeneous in nature in terms of size, age and developer. The
developments comprised of medium and high cost dwellings. The sample was random in nature. The
data from these were analysed using content analysis for the qualitative data resulting in some common
categories while for the quantitative data descriptive statistics such as frequencies, means and standard
deviations were calculated.

This section presents the results and offers the interpretation of findings.
7.1 Respondent profile

Response rate from the estates included in the study are as follows: Blair Atholl (10/10), Eagle Canyon
Estate (10/10), Jackal Creek Estate (8/10), Waterfall Estate (9/10), Blue Valley Golf Estate 8/10,
Waterfall Equestrian Estate 8/10 and Kyalami Estates 8/10. A total of 62 participants were involved in
this study. This represents an 88.5% response rate. The majority (60%) bought the houses from previous
owners, 24% bought the house immediately after construction while 16% worked with the contractor
and designer. Over 50% of the houses were not more than 6 years old.
62
7.2 Factors contributing to the quality of a home
7.2.1 High quality home factors
The clients or tenants indicated that high quality homes can be achieved through clear consideration of
the design, the materials used and the workmanship as indicated qualitatively by respondents (see Table
3). The functional requirements of the occupants cannot be ignored, as these would influence client
satisfaction. The factors indicated by respondents are not so different from findings of Rad et al, (1998),
Hoyle (2001) and Jha et al. (2006) although in their research aesthetics were the most cited issue
resulting in a dissatisfied client. Additionally, this study suggests that spaces in terms of size and
function matter to the client.
Table 3 Factors contributing to high quality home

Category Factor
Building materials good quality services, good quality materials (11)
Workmanship Consistency in finishes- no rough edges and incomplete painting, good workmanship,
good finishing
Design Good aesthetics (3), design and attention to detail (3), shape and interior design this
will be determined by shaping and design of the house as well as the interior of the
house, such as spacing (2), lighting, good acoustics (2)
Contractor experience skills of the construction workers
Planning Good planning
Function Functional installations (2), good spaces and lighting, Overall all the occupant’s
requirements are satisfied, spaces in the house (3)
Energy efficiency energy efficient home (3)
7.2.2 Low quality houses
The respondents were asked what, in their opinion, makes up a low quality home. Several responses
were advanced, the responses once grouped into categories bordered around categories shown in Table
4. Clearly, the quality of building materials plays an important role in client satisfaction. Selection of
building materials should be well considered during the design stage to fulfil durability, aesthetics and
functional requirements of occupants. It was evident that the level of engagement of the homeowner
had a bearing on the factors seen to contribute to low quality home. Those involved during the
construction phase were able to identify factors related to the construction phase while those who were
not involved in the construction process could only identify factors post construction.
Table 4: Factors contributing to poor quality home (qualitative responses from respondents)
Category Factor
Building materials Poor durability (2), “Poor quality finishes”, Low quality building materials,
use of Inferior materials (2), Poor quality materials used in construction (15)
Workmanship Poor workmanship (4), unskilled construction workers (2)
Design Poor aesthetics, poor design, inappropriate positioning of the house, Poor
natural ventilation (2)
Supervision Poor or lack of supervision (4)
Contractor experience Inexperienced contractor (1), , ill-informed contractors, expenditure due to
contractor errors, or issues, laxity of contractor
Planning Poor planning (2), delays
Client involvement Poor or lack of client involvement (3)
Other Deliberate cost cutting leading to an inferior end product
63
7.3 Perception of quality satisfaction in the current dwellings
The satisfaction rating for the dwellings visited was indicated by using a closed question based on a
five point Likert scale (one on the scale indicating low quality and five indicates high quality was used).
Therefore, responses 1 and 2 would result in a dissatisfied client, three would result in a neutral client,
and four and five would result in a satisfied client. The mean was 3.78 showing that on average items
above the mean were found to be satisfactory by the respondents and an indication that the remainder
on items below the mean needed some improvement (see Table 5).
The areas that could be said to be less satisfactory include finishes and internal conditions (ambient
temperatures, natural lighting, and services-air-conditioning). This is slightly similar to findings of
Forcada et al. (2014) in Spain and their findings point to issues with finishes (paint and tiling).
Table 5: Client satisfaction of aspects of a residential dwelling.

Factor Mean Standard Deviation
Electrical lighting 4,15 1,04
Doors 4,08 0,98
Services- hot water 4,05 1,15
Bathrooms 4,02 0,91
Finishes- walls 4,00 1,04
Materials used in building 3,98 0,97
Bedrooms 3,95 0,95
Perceived durability 3,92 0,93
Kitchen 3,89 1,13
Living areas 3,87 1,11
Design- Does the home provide for desired personal functions 3,79 1,06
Finishes- floors 3,77 1,18
Running costs 3,77 1,09
Outside Areas 3,76 1,14
Finishes- General aesthetics 3,73 1,07
Ambient temperatures 3,69 1,05
Natural lighting 3,68 1,33
Parking area 3,56 1,28
Amount of defects (1 being many defects and 5 being no defects) 3,52 0,94
Delays in construction (if applicable) 3,24 1,30
Services- air conditioning 3,02 1,36
7.4 Common defects experienced in residential dwellings

Any construction project going through the natural phases of its life cycle may have defects of various
types. The homeowners felt that the defects highlighted below occurred prematurely with the major
category related to dampness. The comments below show the qualitative responses indicating some of
the defects found in the dwellings. These were found to be common for households in existence for less
than 6 years.
From the defects highlighted, it shows that the genesis of the defects could be design related (cracks,
material selection) and workmanship related (dampness, cracks and electrical). This calls for designers
to pay particular attention to the mentioned areas when designing while contractors should pay
particular attention to supervision and engagement of skilled project crews to achieve the desired level
of workmanship. The aforementioned measures would add to good service quality that in turn would
satisfy the client (Rahman and Alzubi, 2015).
64
Dampness “Dampness coming in through wall and floor causing mould in a small section of the house”
related “Roof leakage”
“Dampness”
“Roof leaks, skew walls, unsymmetrical rooms”
“Long delays in construction due to financial constraints as a result certain important things could be
completed-like waterproofing which lead to some damage”
Cracks “A crack in the foundation formed a few years after house was finished”
“A large crack in foyer wall”
“Structural (Crack on walls)”
Electricals “Problems with electrical wirings, plugs sockets often burnt out, as an enormous amount of electricity
was been pulled”
Other “Polystyrene ceiling boards were used which have poor acoustic values therefore outside noise is not
blocked out well”
8. Conclusion
Quality as a concept has no consensus of what it should constitute. The quality of a home has
contributing factors from both the pre-construction and construction phase. The defects or shortcomings
become clear and evident during occupancy. This therefore implies that both the contractors and
designers are responsible for the quality of a home. Additionally, there is evidence that the client or
future homeowner could contribute positively to the quality of a home by pointing out areas of possible
dissatisfaction before construction completion. In this paper the areas of defects and factors contributing
to the quality of a home a have been pointed out. These offer a basis for Improvement for designers and
contractors to ensure that measures are taken to satisfy clients. Future research could focus on
improvements in quality that could be made in low cost residential housing, industrial and commercial
sector. Additionally, other parts of the country could be studied as this study only focussed on Gauteng
province.
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Rahman, A. and Alzubi, Y., (2015). Exploring Key Contractor Factors Influencing Client Satisfaction
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and environment, 41(4), pp.501-511.
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DII-2017-052
Effect of Indoor Environmental Quality (IEQ) on the
Comfort of Building Occupants in Gauteng, South Africa
Clinton Aigbavboa1, Oluwaseun Dosumu2
Abstract
There is continual argument about the potential negative impacts that poor indoor environmental quality
can have on the wellbeing and comfort of occupants. The aim of this study is to investigate the effect
of indoor environmental quality on the comfort of occupants of social mass housing projects in South
Africa. The study was conducted in Ekurhuleni Metropolitan Municipality (EMM) where low-salary
earners mostly reside in South Africa. The descriptive survey research method was adopted and the
questionnaire used for the study was targeted at occupants of low-salary housing units in South Africa.
The convenience sampling technique was employed for the study. The methods of data analysis
basically include percentages and mean item scores. The results of the study indicate that furnishing,
quality of air and thermal comfort on the fourth floor does not give occupants satisfactory comfort. The
thermal comfort on the third floor is also unsatisfactory. Cleanliness and general maintenance and
acoustic quality on the first floor are unsatisfactory to building occupants. Based on these, it was
recommended that the acoustic designs of units on the first floor should be increased beyond those of
second floor and above. It also recommended that attention should be specially paid to general
cleanliness and maintenance of the first floors of building units. Finally, it was recommended that the
thermal comfort of building units needs to generally be improved from the design stage. The
significance of this study is that building designers and clients will subsequently see the reason to pay
more attention to the thermal comfort during construction planning and increase acoustic and
cleanliness activities for the first floor of buildings
Keywords: building occupants, housing project, indoor environmental quality, low-salary earners,
South Africa.
1. Introduction
After the South African apartheid that ended in 1994, providing accommodation for citizens especially
the poor has been a major challenge for the government according to the Department of Housing. In a
bid to solve this problem, various policies, strategies, programmes and projects were introduced. In
spite of these policies, housing problem remains unsolved (Othman and Mia, 2008). In view of this,
government started social and rental lodging programs which concentrated on encouraging access to
rental housing and supporting urban rebuilding and incorporation.
1Associate Professor and Vice Dean; Department of Construction Management and Quantity Surveying; Faculty of
Engineering and Built Environment; University of Johannesburg; [email protected].
2Research fellow; Department of Construction Management and Quantity Surveying; University of Johannesburg;
[email protected]; 3Lecturer; Department of Building; University of Lagos; [email protected]
68
Social housing primarily seeks a formal technique for recovering and taking care of valued housing for
low-salary workers, with the point of giving adequate comfort to low-wage families. Therefore, social
housing ventures are accepted to address more extensive personal satisfaction needs (Onatu, 2010).
Also, most people have been said to spend much of their time in their homes, in which they direct the
primary exercises of day-to-day living and rest consequently (Afacan and Demirkan, 2016). As a result,
houses ought to be given in the right areas with vital social luxuries which eventually prompts enhanced
personal satisfaction (EMM IDP, 2012). For this reason, it is imperative that an investigation of
occupants’ comfort level with indoor environmental quality (IEQ) in social housing projects in South
Africa.
There is steady civil argument about the potential negative impacts that poor indoor environmental
quality can have on the wellbeing and comfort of occupants (Afacan and Dermikan, 2016). The need to
guarantee quality and clients’ fulfilment has become noteworthy to government and those involved in
housing arrangements in many nations (Ibem, 2012). According to Ngxubaza (2010) the South African
housing delivery plan is faced with various economic and social challenges which include a high
unemployment rate, low income, huge housing backlog and lack of infrastructure.
Moreover, Suleiman et al. (2013) noted that IEQ is often not considered as a major aspect of design
during development planning and management. This leads to imbalance indoor environmental quality
which consequently results in negative impact on facilities, building and occupants. The imbalance
contributes to the health quality of occupants and Sick Building Syndrome (SBS) in most cases.
According to Afacan and Dermikah (2016) there are continual debates about the potential negative
effects of poor indoor environmental quality on health, quality of life, user satisfaction, comfort,
performance and productivity. In addition, the Department of Local Government and Housing explained
their awareness of poor development quality of houses and urban offices for new ventures. In addition,
the effect of poor indoor natural conditions, such as high indoor contamination, low or high indoor
temperatures, absence of light, commotion and so on can be lead to discomfort for occupants (Lavelle,
2010).
Therefore, ensuring high IEQ requires a complete approach towards lighting, acoustics, commotion
control, ventilation and warm solace. Although, many studies have been conducted on IEQ; none has
been found to examine the IEQ of social housing projects in South Africa. Having a solid indoor
environment is essential for occupants and it is based on this position that the study evaluates the effect
of IEQ on the comfort of occupants in social housing projects in South Africa. The findings of the study
are mostly beneficial to designers such as architects and services engineers as design areas with
shortcomings will be highlighted in this study for further design attention.
Indoor environmental quality (IEQ) refers to the environmental qualities within a building and it is
commonly utilized as a part of connection to the well-being and comfort of building occupants (Samari
et al, 2013). It covers variables such as temperature, ventilation, indoor air quality, day lighting quality,
warm solace and access to see. In addition, indoor environmental quality makes up one of the five
classes of the Leadership in Energy and Environmental Design (LEED), created by the Green Building
Council of the United States of America (USGBC).
69
IEQ influences client fulfilment and efficiency. Also, guaranteeing high IEQ requires a thorough
approach towards lighting, acoustics, clamour control, ventilation and warm solace. Solid indoor
environment is essential for tenants and diminishes the requirement for reconstruction and renovation
(Afacan and Demirkan, 2016). The theory relating to indoor environmental quality is extremely wide
and fuses different components which incorporate temperature, relative humidity, air speed, wind
stream, inhabitancies, clamour, and lighting (Almeida et al., 2015). Furthermore, Liang et al. (2014)
stated that IEQ refers to the ability of a building to deliver an indoor environment to occupants beyond
their expectations. These expectations include occupants’ health, comfort, well-being and productivity.
Thermal comfort is that state of mind that expresses fulfilment with thermal environment (Frontczak
and Wargocki, 2011). Navai and Veitch (2003) described acoustic condition as a condition of happiness
with acoustic conditions. The nature of sound environment is connected to various physical parameters,
which incorporate both the physical properties of sound itself and the physical properties of a room.
Sound is described by the sound weight level in a fleeting and long-haul period and by sound recurrence.
The acoustic environment is affected by such physical room properties as sound protection, assimilation
and resonation time.
The term comfort is not regularly utilized as a part of connection to indoor air quality and it is mainly
associated with the absence of distress because of smell and tactile aggravation. Satisfactory air quality
is characterized as air when there are no known contaminants and with which a dominant part of the
general population does not express disappointment.
3. Research Method
This study was conducted in Ekurhuleni Metropolitan Municipality (EMM) where low-salary housing
projects are concentrated in South Africa. The targeted respondents were the occupants that dwell within
the social housing projects that are managed by the Ekurhuleni Development Company (EDC), an
organisation that was set up in 2000 for the advancement and administration of rental lodging for low
and direct pay families in South Africa. The rationale for choosing buildings managed by EDC is that,
many of the housing units managed by the company are occupied by low income earners and it is not
unlikely that some design deficiencies will be present in those buildings due to the cost of provision of
those houses. Thus, this study was conducted only on the social-housing projects that are under the
management of EDC.
Hence, 150 copies of structured questionnaire were administered on occupants of social housing
projects in EMM in South Africa. All occupants of the housing projects in EMM were qualified for this
study but for convenience, those that were interested in participating in the study were given the
questionnaire. Hence, the convenience sampling technique was adopted for this study and only 50
questionnaires were returned. The methods of data analysis include percentages, mean scores, t-test and
analysis of variance (ANOVA).
4. Data Analysis
Table 1 shows the general information of respondents and their houses. 66% of the respondents were
females while 34% were males. This shows that there are more female respondents in this study than
males. Also, 2% of respondents were 20-25 years, 20% were 26-30 years, 32% were 31-35 years, 22%
were 36-40 years, 16% were 41-45 years and 8% were above 45 years. This indicates that majority of
70
the respondents fall within 26 and 45 years. In the same vein, 74% of the respondents are Africans by
ethnicity while 22% were mixed-race.
Table 1: General information about respondents and their houses
Percentage (%)
Gender
Male 34
Female 66
Age
20-25 2
26-30 20
31-35 32
36-40 22
41-45 16
Above 45 8
Ethnicity
African 74
Mixed-race 26
Number of years in building unit
Less than 1 year 16
1-5 44
6-10 40
Floor level of respondent
First 50
Second 22
Third 18
Fourth 10
Direction of occupants’ buildings
North 20
East 26
West 8
Core 18
Do not know 28
Type of unit occupied
2- bedroom unit 74
1- bedroom unit 26
Table 2 indicates the mean scores and ranks of the effect on indoor environmental quality on the comfort
of occupants based on the floor level they stay. The results revealed that lighting quality was ranked
first by occupants at first floor (MIS =3.68). It also ranked first in the overall analysis of respondents
(3.70), However occupants in the second (3.36), third floor (3.67) and fourth (4.60) floor ranked it
second. In addition, cleanliness and maintenance of buildings ranked first amongst occupants in the
second floor (4.46) and third floor (4.00). First floor occupants ranked it fifth (2.88), occupants in the
fourth floor ranked it third (4.20) and the overall ranking was third (3.56).
The study further indicates that on the fourth floor, furnishing (2.20), quality of air (1.60) and thermal
comfort (1.40) do not give occupants satisfactory comforts. The reasons for these were not investigated
in this study; hence it may require further investigation. Also, the thermal comfort on the third floor is
also unsatisfactory (2.78). The reason for this too may be subjected to further investigation. Lastly, the
cleanliness and general maintenance (2.88) on the first floor is unsatisfactory just as acoustic quality
(2.80) is not satisfactory. It is understandable that first floors are closer to surrounding noise and dirt.
Therefore, sounds from vehicles, moving objects and persons may easily penetrate apartments on first
floor and as such, they are susceptible to acoustic and cleanliness problems.
71
Table 2: Effect of IEQ elements on the comfort of social housing occupants based on floor level
IEQ Elements 1st floor 2nd floor 3rd floor 4th floor Overall
Mean Rank Mean Rank Mean Rank Mean Rank Mean Rank
Lighting quality 3.68 1 3.36 2 3.67 2 4.60 2 3.70 1
Cleanliness and 2.88 6 4.46 1 4.00 1 4.20 3 3.56 2
Maintenance of the
building
Unit layout 3.32 3 3.00 5 3.56 5 4.80 1 3.44 3
Furnishings 3.44 2 3.00 5 3.56 5 2.20 5 3.24 4
Air quality 3.32 3 3.36 2 3.67 2 1.60 6 3.22 5
Acoustic Quality 2.80 7 3.36 2 3.67 2 3.40 4 3.14 6
Thermal comfort 3.24 5 3.00 5 2.78 7 1.40 7 2.92 7
5-Very high; 4-High; 3-Average; 2=Low; 1=Very low
Table 3 shows the mean scores and ranks of the effect of IEQ elements on occupant comfort based on
type of units they occupy. The results are set against each other in order to study the variance in
perception amongst different groups of occupants in the social housing project. The table reveals that
lighting quality was ranked first by both the 2 bedroom (3.57) and 1 bedroom occupants (4.08)
occupants. Also, Thermal comfort was ranked last by two bedroom (3.03) and one bedroom (2.62)
occupants. Generally, the occupants agree that lighting quality (3.70) affects their comfort the most,
followed by cleanliness and maintenance of building (3.56), layout of unit (3.44), furnishing (3.24), air
quality (3.22), acoustic quality (3.14) and thermal comfort (2.92). It is noticeable that thermal comfort
has low effect on the comfort of one bedroom occupants. This may be determined by the number of
occupants in the apartments because the more people in an apartment, the less the thermal comfort will
be.
Table 3: Effects of indoor environmental quality on the comfort of social housing occupants based
on type of unit
IEQ Elements 2-bedroom One bedroom Overall
Mean Rank Mean Rank Mean Rank
Lighting quality 3.57 1 4.08 1 3.70 1
Cleanliness and maintenance of the building 3.38 4 4.08 1 3.56 2
Unit layout 3.35 5 3.69 3 3.44 3
Furnishings 3.43 2 2.69 6 3.24 4
Air quality 3.41 3 2.69 5 3.22 5
Acoustic Quality 3.03 6 3.46 4 3.14 6
Thermal comfort 3.03 7 2.62 7 2.92 7
5 = Very high; 4 = High; 3 = Average; 2 = Low; 1 = Very low
5. Discussion of Findings
This study investigates the effects of IEQ on the comfort of occupants of low-incomes houses in South
Africa. The study revealed that the thermal comfort of the buildings is generally not acceptable to the
occupants. Besides, the quality of air and furnishings in some of the apartments are also not satisfactory
to occupants. The thermal condition of a building, whether too hot or too cold will not make occupants
to enjoy the house, thus affecting their health negatively as claimed by Afacan and Dermican (2016).
This is consistent with the findings of Lavelle (2010) that the effect of poor indoor natural conditions
such as high indoor contamination, low or high indoor temperatures and absence of light can be lead to
discomfort for occupants.
72
Furthermore, Liang et al. (2014) stated that IEQ refers to the ability of a building to deliver an indoor
environment to occupants beyond their expectations which include occupants’ health, comfort, well-
being and productivity. This is in recognition of the fact that, a poor indoor environment will lead to
sick building syndrome for occupants. As claimed by EMM, IDP (2012), this situation would leave to
search for house in urban centres, hence the prompt for enhanced social personal satisfaction. Therefore,
it is important to state that, regardless of the kind of houses or people to be catered for, indoor
environmental quality should not be compromised because of the adverse effects it has on the occupants.
Hence, designers are required to pay attention to thermal quality and indoor air quality when buildings
are being designed for construction purposes.
6. Conclusion
Based on the findings of this study, the study concludes that generally, except for thermal comfort in
building units, lighting quality; general cleanliness and maintenance; units’ layout; furnishings in the
units including chairs, dining set, wardrobes and kitchen cabinets; air quality and acoustic quality give
satisfactory comfort to building occupants. The study further concludes that on the fourth floor,
furnishings, quality of air and thermal comfort do not give occupants satisfactory comforts.
Also, the thermal comfort on the third floor is also unsatisfactory to occupants. Moreover, the
cleanliness and general maintenance and acoustic quality on the first floor is unsatisfactory to building
occupants. Finally, the study concludes that the thermal comfort in one bedroom units gives
unsatisfactory comfort to building occupants.
Based on these conclusions, the study recommends that the acoustic designs of units on the first floor
should be increased beyond those of second floor and beyond. It was also recommended that, attention
should be specially paid to general cleanliness and maintenance of the first floors of building units.
Also, the study recommends further investigation into the reason for poor thermal comfort and air
quality on some floors of building units. Finally, it was recommended that thermal comfort of building
units needs to generally be improved from design stage.
References
Afacan Y and Demirkan H (2016) “The influence of sustainable design features on indoor
environmental quality satisfaction in Turkish dwellings”, Architectural Science Review, 59 (3) 229-238.
Almeida R M., de Freitas V P and Delgado, J M (2015) “School buildings rehabilitation”, Springer
brief in applied science and technology, 5-17
Ekurhuleni Metropolitan Municipality (2012) “Integrated Development Plan (IDP)”, 2016/2017 –

2018/2019.
Frontczak M and Wargocki P (2011) “Literature survey on how different factors influence human
comfort in indoor environment”, Building and Environment, 46, 922-837.
Ibem O E (2012) “Residents' perception of the quality of public housing in urban areas in Ogun State,
Nigeria”, International Journal of Quality and Reliability Management, 29 (9)1000 – 1018.
Lavelle M (2010) “The Solvable Problem of Energy Poverty”, National Geographic News.
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Liang H.H., Chen C.P., Hwang R.L., Shih W.M., Lo S.C., Liao H.Y., 2014, Satisfaction of occupants
toward indoor environment quality of certified green office buildings in Taiwan, Building and
Environment, 72, 232-242.
Navai M and Veitch J A (2003) “Acoustic Satisfaction in Open-Plan Offices: Review and
Recommendations”. Retrieved athttp://irc.nrc-cnrc.gc.ca/ircpubs on 12th March 2017
Ngxubaza V J (2010) “An investigation of the low-cost housing process with specific reference to
Mbashe Local Municipality”, A Masters of Technology thesis in Public Management, Faculty of
Business, Cape Peninsula University of Technology, South Africa.
Onatu G O (2010) “Mixed-income housing development strategy”,International Journal of Housing

Markets and Analysis, 3 (3) 203 – 215.
Othman A A and Mia B (2008) “Corporate social responsibility for solving the housing problem for
the poor in South Africa”, Journal of Engineering, Design and Technology, 6 (3) 237 – 257.
Samari M Ghodrati, N Esmaeilifar, R Olfat P and Shafiei M W (2013), The Investigation of the Barriers
in Developing Green Building in Malaysia, Modern Applied Science, 7(2) 63-73
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(IEQ) of higher education institutions (HEIs): A user perception survey”, Journal of Clean Energy
Technologies, 1, 318-321.
74
DII 2017-012
An Evaluation into Improving Facility Management

through the Use of Building Information Modelling in
the Zambian Construction Industry
Josephine Mutwale Ziko1, Lawrence Mutale2, Major Moyo3

Abstract
Facility management forms an important support service aimed at creating successful and profitable
maintenance, operation, and monitoring of buildings or properties. It ensures an appropriate and
optimum working environment that yields high productivity, ultimate use of buildings and a health and
safe work environment for occupants of a building. This paper accesses the integration of Building
Information Modelling (BIM) to building maintenance and operations as a way of improving facility
management against the background of the Zambian construction industry experience. The research
made use of primary and secondary sources of data obtained from literature, questionnaires and
interviews administered to consultants, contractors and statutory bodies respectively in Zambia. The
research outcome indicated that BIM can enhance facility management. However, its implementation
is hindered by a number of factors. These include the cost of implementation, lack of knowledge about
BIM by clientele and professionals involved in maintenance and a lack of best practice studies on how
to implement BIM. Software costs, copyright restrictions and mere reluctance by construction
professionals were also listed as some of the hindrances. By taking an interest in the integration of BIM
in facility maintenance and operations, maintenance and operations of buildings can be improved in the
Zambian construction industry. Firms are able to reduce operational life cost of buildings while
maintaining a health and safe working environment. Mandating the utilization of BIM for public works
and introducing BIM in universities to reduce cost of training professionals in the long run can go a
long way in combating some of the hindrances observed implementation of BIM.
Keywords: BIM, facilities management, information, maintenance, operation, Zambia
1. Introduction
Facility maintenance is the total of activities serving the purpose of retaining the condition of a facility
in a state considered necessary for the fulfilment of its production function (Alhman, 1998). It covers a
range of activities aimed at reducing the occurrence of failures, ensuring safe and satisfactory operation
and productivity, and extending the life of the facility and all equipment found therein (Alhman, 1998).
It is an element that ensures that a company’s investment is retained in an acceptable state. Therefore,
the efficient and effective management of this support service is crucial to an organisation’s interests.
1 Lecturer; Department of Construction Economics and Management; Copperbelt University; P.O Box 21692, Kitwe.
[email protected]
75
For it to be efficient and effective it is cardinal that information about the facility is readily available to
the personnel involved in the maintenance works (Atkin and Brooks, 2009).
A lack of proper generation, storage and sharing of necessary information to track and coordinate
maintenance can hinder maintenance activities. For an organisation’s core business to thrive, an
environment deemed fit for purpose must be created in buildings that may or may not have been
designed for the purposes for which they are now used. Without this an organisation can fail to deliver
its promise to the customers and provide an environment that supports health, safety and wellbeing.
Maintenance is an important support service which works to create an appropriate and optimum
working environment that yields high productivity. For it to be efficient and effective it is cardinal that
information about the facility is readily available to the personnel involved in the maintenance works
(Atkin and Brooks, 2009).
2. Criticism of Traditional Approach to Facility Management

The three main approaches to building maintenance are planned maintenance, predictive and corrective
maintenance (Lindley et al., 2008). Planned maintenance is an approach to maintenance where routine
actions are undertaken to keep a facility in working order. Reactive maintenance is an approach where
fixing of any building component is done when it becomes faulty or out of order. Predictive maintenance
focuses on assessing the areas of possible trouble in a facility and repairing it without following any
predetermined schedule but as and when components display significant wear and tear and may cause
trouble if not checked (Alhman, 1998).
The most widely utilized maintenance approach is reactive maintenance (Lindley et al., 2008; Alhman,
1998). Reactive maintenance tasks have been reported to cost three to four times more than the same
repair activity if it were to be performed as planned maintenance [Sullivan, et al., 2004]. Additionally,
it further increases the frequency and cost of repairs and maintenance due to repeated repair. Cost
inefficiencies are as a result of failure by most maintenance departments to plan and implement proper
maintenance strategies. This failure is a result of lack of adequate and vital information either because
no maintenance manual was provided upon completion of the facility or it is missing, or the information
is just not accessible because it was not generated or not in an easily accessible format (Lindley et al.,
2008).
3. Information Management
Information management is the application of management techniques to collect information,
communicate it within and outside the organisation, and process it to enable managers to make quicker
and better decisions (Dalkir, 2005). It involves the collection and management of information from one
or more sources and distribution of that information to one or more audiences (Anon., 2014). A good
information management approach should be capable of managing captured information throughout a
building’s lifecycle regardless of the source or format of delivery through multiple channels that include
cell phones and web based devices. In this context the sources of information include Architects,
Engineers or Contractors and formats include paper documents, electronic documents, audio, video,
data or any combination of the enlisted categories (Dalkir, 2005). The traditional format in which
information is generated by the design team and transferred to the client for use by facility managers
upon completion of construction works is mostly through two Dimensional (2D) drawings and 3D
models in hardcopy and seldom in softcopy (Teicholz, 2013). The software formats widely employed
for transfer and manipulation of information at both construction and operation stages are not designed
76
especially for use in efficiently handling facility information and are incapable of interoperability
between professionals that are involved in the procurement (Teicholz, 2013). Atkin and Brook (2009)
argue that the generation of information and its storing format does not allow for information to be fully
utilized for maintenance and operations with a substantial amount missing at post construction e.g.
maintenance manuals, warranties, construction technology employed. Information storage formats i.e.
hardcopy makes it difficult to share information and risks it being lost or damaged with the passage of
time (Atkin and Brooks, 2009). Hardcopy documents that hold maintenance information are
ambiguous, ineffective and inefficient especially if the building is large and complex in design
(Teicholz, 2013; Atkin and Brooks, 2009). By its very nature, paper is not very durable, and this coupled
with the manner in which hardcopy documentation is stored in the maintenance departments leads to
much information being lost during the lifecycle of the project (NIBS, 1998). Furthermore, more
information is also lost during handovers as new facility management staff is ushered in. As a result, an
inordinate amount of time is spent locating and verifying specific facility and project information from
previous activities for maintenance activities.
The traditional approach of responding to faults as they manifest in a facility has become inadequate to
meet the demands of clients (Sullivan et al., 2004). Delays in the information exchange are common,
Misinterpretation of the information from drawings and records, lack of access to much needed
information to carry out maintenance works and poor record keeping (Pugh, 2010). Even when
reference is made to original blueprints and as-built drawings by maintenance staff, in some cases most
of these have been rendered useless by decades of upgrades and retrofits. The bulk of these documents
renders information transmission between interdisciplinary divisions of the maintenance department
inefficient and thus causes low productivity which leads to labour wastage and high cost of works
(Clayton et al., 1999). It has become incumbent to optimize the approach to facility maintenance
management by anticipating areas which require attention before they become an issue. This can be
achieved by having foreknowledge on how the facility behaves [i.e. how the facility deteriorates] and
keeping track of past maintenance records (Akcamete et al., 2010). Therefore, this inefficient handling
of low quality information is a source of most of the challenges in facility maintenance. Therefor,
information management is a critical aspect of facility management and maintenance.
4. Building Information Modelling

Building Information Modelling (BIM) is an information technology (IT) enabled approach that
involves the application and maintenance of integral digital illustrations of all building information for
different phases of the project life cycle in the form of a data repository (Gu, 2010). A complete 3D
digital representation of a building system including its subsystems (e.g. HVAC, electrical, etc.), this
sophisticated technology is both a visually accurate model of a building and a database for recording
the breadth of information developed and associated with building components. In BIM, elements are
virtual simulations of building components i.e. a wall exists as a wall; all objects have an identity and
attributes. BIM as a comprehensive concept of process and tools which integrates all projects required
data and information. As a management paradigm, it can be implemented through building software
such as Revit, Primavera, etc. by utilizing the managerial processes and concepts such as critical chain
project management, critical path method and concurrent engineering at all stages of projects’ life cycle
(Shorangiz, 2011). As a data application, BIM can track the types and quantities of materials, equipment
and spaces used and needed in a facility. Under the BIM umbrella are many interoperable software
applications that lead to an efficient design of space, generation of information, as well as sharing and
storage of this information throughout the lifecycle of a building (Sabol, 2008). Beyond being a drawing
and documentation tool, BIM offers a platform for enhanced interdisciplinary collaboration, the
77
capability to manage change, and the ability to extend information support throughout the building
lifecycle (Payne, 2010). Hence for supporting maintenance work, software like BIM that provides a
reliable maintenance database that stores history of maintenance work and the associated change
information in an easily manageable and accessible format is necessary.
BIM can be used to reduce operational costs; BIM can create a platform for analysis and comparison of
available energy options that enables the facility manager to reduce operating cost and environmental
impacts of building (McNeill, 2010). BIM provides a living model that presents an easy representation
of three-dimensional aspects of the building. Having a living model helps facility manager's access
information about an existing building that can be used in renovations and retrofitting. As a result,
change orders that arise from unexpected in built condition are significantly eliminated. Many
professionals are of the misconception that the process of implementing BIM requires the knowledge
in 3D modelling and CAD software to make use of information. BIM provides a platform were 80% of
the data required for BIM probably already exists in the current facility management records (Gee,
2010). Content is of paramount importance, the decision on the level to which detail is attached should
lie in the needs of an organisation.
Despite the benefits of using BIM, according to (Oskouie et al., 2012) BIM is beneficial to FM but
limitations exist. These limitations include the cost of software, copyright restrictions and the cost of
training (Teicholz, 2013) and the reluctance of users to switch from drafting to modelling
(Sabol, 2013). BIM for FM is an emerging field and is yet to be proven compatible with Computer-
Aided Facilities Management systems (CAFM) (Gee, 2010). The lifecycle of software is around 12
months, whereas the lifecycle of a building typically around 100 years, meaning data standards are
critical. It is of vital importance that organisations do not fit their business to suit a technology,
otherwise they will struggle to adapt to new software as technology develops. Again, this may save
time and costs associated with design and provide more accurate representations for strategic decision
making from a management perspective. BIM can be referred to as a modern approach to age old
problems (Kurul et al. 2013). The use of BIM in FM transforms the traditional approach of
documentation, control and maintenance operations by helping reduce maintenance cost, providing
cost, lowering operational costs, providing accurate control system and helps in delivering cost effective
services for building occupants (Kurul et al. 2013).
5. Methodology
Questionnaires and interviews were administered. The survey focused on accumulating evidence from
facility maintenance managers from large organisations i.e. shopping malls, hospitals etc. to make
implementation of BIM economical and professionals in firms involved in design and construction of
infrastructure. Purposive sampling was employed to ascertain the facility managers to be included in
the survey and random sampling for professionals in the construction industry. Purposive sampling was
guided by the criterion that the facilities to be approached were to be large enough for the economic
implementation of BIM and to provide critical challenges faced in facility maintenance owing to the
size of the organisations within which they work. From an identified population of 690 participants a
sample of 70 participants representing 10% of the population were selected. 45 (75%) were valid
responses hence making the sample representative and the inference made from it valid for analysis and
generalization. For the purpose of economy and time, Lusaka and Copperbelt Provinces of Zambia were
chosen as the study area in which to conduct the field survey.
78
6.1 Current state of facility maintenance and maintenance information management
Maintenance departments use reactive maintenance approach to respond to emergency defects that are
rampant due to the old state of buildings in Zambia. The findings indicate that 88% of the respondents
use a combination of hardcopy and softcopy tools to generate, send, and store maintenance information,
none of the respondents use only softcopy. This can be attributed to lower cost of acquisition and
accessibility, absence of significant setting up cost and familiarity. Additionally, using hardcopy
together with softcopy tools prevents alterations to original documents i.e. contract documents (Gee,
2010). 80% of the respondents indicated that hardcopy documents used in maintenance information
management are in good condition. This data information includes everything generated from the design
and construction stages, and information about past maintenance works during the operational stage of
the facility. It was noted that only one respondent was using a maintenance management system
application while the rest used software applications that even though capable for use for the task are
not designed for efficient maintenance information management. The majority of respondents indicated
that the software employed are not efficient, however they are effective. It is safe to note that software
tools employed are effective in that maintenance works have been done all along with them however a
large percentage of the respondents submitted that they are inefficient.
6.2 Challenges associated with facility maintenance information management

About 80 % of the respondents’ experience challenges with exchange of maintenance information. The
most prevalent challenges both during emergency and routine works include lack of information about
past maintenance works, followed by lack of vital information necessary to carry out maintenance
works and lack of knowledge about the root cause of defects. Inefficient information transfer methods
within the maintenance team and a lack of proper knowledge about the location of building components
within facilities being managed were noted to be among the high ranking challenges during routine
maintenance works. These challenges can be attributed to the information management approach being
employed in that they all emanate from a lack of easily, and sufficiently accessible information about
maintenance works (Shorangiz, 2011). Client’s ignorance about the importance of maintenance works
was found to be a problem as well. Literature suggests that often time’s clients do not understand the
need for certain works being carried out (McNeill, 2010). Often the client fails to appreciate the need
to replace such a component if it appears to operate well despite the professional advice and will delay
till it fails to secure another one. The causes of these challenges from the findings indicate that the
highest cause include delays in information exchange, poor information exchange tools and poor record
keeping, followed by difficulty in accessing information which is most likely as a result of poor
information exchange tools and poor record keeping. Failure to accurately interpret information was
highly prevalent and this is because of depending on few members of staff that understand the facilities
well to proper function as a maintenance department; the absence of which causes delays and
inaccessibility to vital information necessary for maintenance works (Pugh, 2010; Shorangiz, 2011).
Table 1: A summary of challenges faced in conducting routine maintenance

Challenges Faced During Routine Maintenance Percentage
Lack of information about past maintenance 36
Inaccessibility of vital information necessary for effective maintenance 29
Inefficient information transfer methods within the maintenance team 18
Lack of knowledge about building components locations and specifications 14
Inefficient notification mechanism 4
79
6.3 Feasibility of using building information modelling to improve facility
maintenance information management in Zambia
62% of the respondent’s knowledge about BIM was not extensive whilst 38% of the respondents were
extensively knowledgeable about BIM, with 4% of this population being very extensively
knowledgeable about it. However, an introduction provided gave the respondents enough insight to
make informed responses to the questions posed. Using their understanding of the current trends and
challenges in maintenance information management, and the capabilities of BIM as provided in the
introduction and their knowledge about it, respondents answered with regard to whether they believe
BIM can improve facility maintenance information management in Zambia. 89% of the respondents
agreed that BIM can improve maintenance information management in Zambia. 80% are willing to use
BIM for facility maintenance information management and to procure more hardware to build their
capacity to use BIM and train staff to use it. However, it was found that only 64% of the respondents
were willing to pay for licenses for the BIM software evidently due to high costs of acquisition. It can
be deduced from the findings that the majority of respondents agreed that BIM can improve facility
maintenance information management in Zambia and that this will be beneficial to them and their
stakeholders. The respondents were at the time sufficiently knowledgeable about the capabilities of
BIM and well vested with the trends and challenges in facility maintenance information management
over an average period of 10 years, hence making their response valid for consideration. Evidently the
current situation of facility maintenance information management has created enough demand for the
majority to be willing to make changes that favour the successful implementation of BIM.
Table 2: Respondents’ knowledge of BIM

Scale Frequency Percent
Very extensive (1) 2 4.4
Extensive (2) 15 33.3
Not Extensive (3) 28 62.2
6.4 Challenges towards the implementation of building information modelling in

Zambia
Nine factors that may hinder the implementation of BIM were compiled and respondents were asked to
rank them in order of their possibility of occurrence. The findings revealed that the factor most likely
to hinder the implementation of BIM is the cost of software, followed by the lack of clear guidance or
best practice studies from which people can learn and build up their capacity for using BIM and cost of
hardware respectively. Copyright restrictions, lack of about knowledge on return on investment when
BIM is used and client's unwillingness to take chances on unfamiliar technology followed respectively.
Reluctance on the part of construction industry professionals to implement BIM and staff training were
the least factors in that order. 68% of the respondents face challenges in implementing new technology
i.e. cost of acquisition, implementation and maintenance, copyright issues, cost and time for staff
training, reluctance to accept and adopt new technologies, lack of equipment and support to sustain new
technologies, lack of support from government to implement new technologies, in government run
facilities and construction industry at large, some applications, like BIM requires high speed internet
services to efficient share information and access updates and the internet speed is very low, employers
are unwilling to adopt new technologies. The findings revealed that despite the fact that there may be a
general willingness to effect changes necessary for the implementation of BIM, the cost of setting up
will prove to be quite high considering the fact that the majority of respondents do not have the software
and hardware required for BIM and need to procure most of it. The lack of clear guidance or best
80
practice studies from which people can learn and build up their capacity for using BIM leaves a
knowledge gap that makes professionals and client’s alike unfamiliar with the approach.
7. Conclusion and Discussion

In order for any organisation to change their processes, there must be tangible business value. BIM
brings an element of smart rather than hardworking. The use of BIM in FM is still an emerging field
whose business value is yet to be demonstrated. BIM offers FM gains in efficiency by reducing
iterations through its various processes in updating building drawings and information. Organisations
face challenges in keeping updated operations and maintenance schedules. Facilities Management
activities should aim to encourage the efficiency of an organisation and make it easy for occupants to
carry out day to day activities. Integrative facility management systems that use BIM combat the
deficiencies of traditional facility management like inaccessible data. Organisations need to take
advantage of such systems so as to capitalise on the benefits that can be gained.
References
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Computing in Civil and Building Engineering. Carnegie Mallon University, England: Nottingham
University Press.
Anonymous (2014) Association for Information and Image Management Online Available at:
www.aiim.org/what-is-information-management Accessed: 20th October, 2014.
Atkin B and Brooks A (2009) Total facilities management (3rd Ed.). Chichester, UK: Wiley Blackwell.
Clayton M J, Johnson R E and Song Y (1999) Operations Documents: Addressing the Information
Needs of Facility Managers, Durability of Building Materials and Components.
Dalkir K (2005) Knowledge Management in Theory and Practice, Elsevier.
Gee C (2010) The influence of Building Information Modelling on the Quantity Surveying profession.
South Africa: Engineering Faculty, Built Environment and technology.
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Construction. London. 19 (8).
Kurul E, Abanda H, Tah J H M, Cheung F (2013) Rethinking the Build Process for BIM Adoption. The
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Handbook, 7thed.
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Conference of the International Group for Lean Construction.
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Energy Management Program (FEMP), Webinar July 1, 2010.
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Singapore Flexibility of BIM towards Design Change, Associate Professor of Department of
Construction Management, UniversitiyTeknologi Malaysia 2 UniversitiTeknologi Malaysia
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A guide to achieving operational efficiency.
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Operations Committee, 5350-1.
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DII-2017-065
Financial Management: A Study of Emerging

Contractors’ Practices
Ayodeji Olatunji Aiyetan1, Andisa A. Merana2

Abstract
Funding is a critical component regarding the realisation of a project. The extent of funds management
indicates the following: competencies, competitive advantage level of contractor, the probability ratio
of delivery of a project, and so on. This study aims to assess factors influencing funds management of
emerging contractors’. The study was conducted in KwaZulu-Natal province of South Africa using a
questionnaire. Respondents for the study are emerging contractors’. Random and systematic sampling
techniques were employed in the selection of samples. A total of forty questionnaires were analysed for
the study. Inferential statistics was employed for the analysis of data. Findings include that non-payment
for completed work, mistakes during construction, late delivery of materials, late identification of errors
and resolution of drawings specification and weather conditions are the factors that negatively affect
emerging contractors’ funds management. When adequate attention is given to these factors by
stakeholders of a project, it may result in project success. Recommendations include that the emerging
contractors’ need to be properly trained firstly in managing finances and relative to the technology of
construction from inception to completion of projects.
Keywords: emerging contractors, financial management, project management, strategic planning

9
1. Introduction
The development and promotion of small firms that are owned by historically disadvantaged individuals
(HDI’s) is one of the major goals of the South African government. This development in construction
terms relates to promoting small emerging contractors to become fully fledged sustainable contractors
that will assist the South African government to reduce poverty, create employment opportunities and
also promote the economy of the country. Developing countries with developing economies have shown
a rapid growth over the years with an increasing demand for basic services and South African is not an
exception to that growth. However, due to the volatility of the South African economy, the construction
industry is directly affected by fluctuations in price of goods which leads to changes in the cost of
labour, transport and materials as well as increases in overheads and administration costs (Mashatole,
2014 and Meyer-Stamer, 2003).
The South African construction industry has, over the years, trained a vast majority of small indigenous
firms, and has called them emerging contractors that have unique characteristics and face different
financial management challenges due to their level of education. The South African construction
1Snr Lecturer and 2Student, Department of Construction Management and Quantity Surveying, Fac. of Engr., Built Env. And
Sciences, Durban Univ. of Techn., Durban, KwaZulu-Natal, South Africa. Tel. no.: +27(0) 31 373 2585 and 039 312 0856.
[email protected] and [email protected]
83
industry that has once undergone a major recession in the 1940’s and is mostly dependant on
government projects for its survival, it becomes extremely difficult for many emerging contractors to
survive the rife competition and overcome the difficulties experienced on day-to-day operations of these
small businesses. These challenges range from tendering on a project and managing business finances
before, during and after completion of the project. The inability to raise and manage cash flows as a
result of poor planning and not knowing the available financial institutions that assist small businesses
\with funding or not having trained financial advisors and accounts that assist in financial management,
being unable to get credit from commercial banks as lack of proper technical skills required to execute
construction projects due to most emerging contractors not being technical people as well as being
unable to employ and pay relevant qualified technical people who can assist them in managing their
projects. They have little or no knowledge of business and financial management as a result of not being
able to plan strategically before deciding to tender on a project and manage business finances before,
during and after completion of the project; being able to get credit from commercial banks as a result
of not having collateral or getting enough credit from material suppliers; inconsistent work flow as a
result of the high bidding competition; late payments due to late submission of claims by contractors
and or consultants and other related internal challenges from clients; capacity and performance
constraints due to not having the required working equipment and financial back-up which ultimately
lead to project delays and in some cases, project failures (Thwala and Mofokeng, 2012); (Kulemeka;
Kululanga, and Morton, 2015) and (Mashatole, 2014).
Based on the foregoing, this study was initiated to assess funds management challenges, causes and
impact of emerging contractors in the Kwazulu-Natal province of South Africa.
The literature to this study is divided into three parts, namely, the challenges of emerging contractors
with respect to funds management, causes of these challenges and their impact.
2.1 Challenges facing emerging contractors

There are many challenges that face emerging contractors in the construction industry. They range from
unique characteristic that small businesses possess and these challenges at times lead to business and
project failures. Following are the discussion of factors identified from several authors regarding
emerging contractors’ challenges.
2.1.1 Inability to get credit from material and plant suppliers, inability to raise and manage
cash flows and to secure bank loans
Emerging contractors struggle in obtaining and raising finances to start and run projects from banks due
to not having sureties or collateral that banks can hold on too when payment is not received. Their
inability to raise funds upfront leads to suppliers being very sceptical about giving material and plant
on credit due to fear of not getting paid, it also stems from not having a good credit record (Mashatole,
2014; Kulemeka, Kululanga and Morton, 2015).
2.1.2 Inability to employ competent staff due to affordability
The majority of emerging contractors use unqualified personnel mainly because they cannot afford to
pay qualified staff market related salaries and wages (Mashatole, 2014) and (Thwala and Mofokeng,
84
2012). This becomes a big problem because incompetent staff make a lot of mistakes and end up wasting
material, compromising quality and delaying the project all together.
2.1.3 Poor contract documentation skills
As a result of cheap labour and incompetent of staff (Thwala and Mafokeng, 2012), contract
documentation skills are lacking in most emerging companies. This results in incomplete documents,
incorrectly filled documents and not understanding the importance of documents required by clients
and consultants (Mashatole, 2014).
2.1.4 Fronting for established contractors
Competition is tough in the industry and projects are limited (Chilipunde, 2007). In order to obtain jobs
and make quick money, established contracting companies use emerging contracting companies as
fronts so as to qualify for functionality and certain prerequisite of projects.This becomes a challenge in
the sense that no skills are transferred to emerging contractors in this fronting as most of time upon
appointment, they are bought out of the contract or get very little money out of the project because the
actual work, plant, and material are supplied by the established companies (Kulemeka; Kululanga, and
Morton, 2015).
2.1.5 Lack of entrepreneurial skills
Majority of emerging contractor’s lack of entrepreneurial skills and this leads them to making decisions
that affect the running of their companies (Ntuli, 2008). The lack of these skills makes majority of these
companies insolvent in the first few years of existence.
2.1.6 Lack of proper training
Little or no training in emerging firms leads to many mistakes being made because the owners and
people who work in these have no idea how to do the work. This leads to poor products being produced
which at the give a bad name to the industry as a whole. Other emerging contractors have no idea that
training programmes are available to help with their growth and sustenance (Ofori, G. 2000 and
Mashatole, 2014).
2.1.7 Lack of resources for either large or complex construction work
The challenge of not having sufficient financial resources leads to challenges in obtaining the correct
plant and material for their respective projects. This becomes a challenge in the quality of work project
produced due to cheap material or defective plant being used in most projects (Palani, K. 2000) and
(Memon; Rahman; Abdulah and Azis, 2011).
2.1.8 Lack of technical, financial, contractual, and managerial skills
According to Mashatole (2014), the lack of technical, financial, contractual and managerial skills are
the some of the biggest obstacles facing emerging contractors. All these skills seem to be lacking in a
lot of these firms and are what determine success or failure of their business. Emerging contractors need
to acquire and master these skills if they are to run sustainable and stable business as well as to make a
good name for them with suppliers, financial institutions and prospective clients.
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2.1.9 Late payment for the work done which ultimately causes project delays
Late payments by clients is one of the challenges that cripple emerging contractors. For any project to
proceed, it needs finances. When payments are processed late by clients, it delays the project as a whole
because emerging contractors struggle in obtaining finances to complete their projects as well finances
to procure plant and material. This also dents the image of these contractors as they cannot honour their
debts in time or get discounts if payment is done upfront. This in the long run affect even their planning
because they are not sure when payments due to them will be paid out (Thwala and Phaladi, 2009 and
Mashatole, 2014) and Aiyetan, (2010).
2.2 Causes regarding challenges of emerging contractors in funds management

Sunjka and Jacob, (2013) state that projects can be delayed due to a number of different factors. Each
factor plays a significant role in the success or failure of a project and can either have a positive or
negative effect on the client, consultant, contractor or the beneficiaries of the project.
These factors have been categorised in eight key main points and are discussed as follows:
2.2.1 Clients’ related issues
Clients contribute either positively or negatively to funds management of emerging contractors’. The
constant flow of funds could assist in good planning of funds by these contractors. The lack of constant
flow of funds may disrupt plan and lead to lack of materials, payment of wages and adversely affect the
project. The factors that measures clients’ contribution to poor funds management of emerging
contractors as identified by Abdul-Rahaman; Takim and Wong Sze Min, (2009) and Sunjka and Jacob,
(2013) are: insufficient funding, interference with project performance, delay or non-payment for
completed works, impractical allocation of resources, unrealistic contract duration, wrong choice of
consultants and contractors, slow decision making and design alterations and change orders.
2.2.2 Contractor-related issues
In the same vein that clients’ contribution to emerging contractors’ poor funds management the
emerging contractors also contribute in many ways to this phenomenon. The level of accounting
management capabilities of an emerging contractors’ affects his/her success in funds management.
Arslan and Kivrak, (2008) and Chilipunde, (2007) identify factors that can be attributable to poor funds
management of emerging contractors’. These include: poor coordination of subcontractors,
inappropriate construction methods, inadequate planning, inadequate experience, mistakes during
construction stage, incompetent site management and wrong choice of bankers.
2.2.3 Labour and equipment related issues
The level of management of labour and equipment has direct impact on the availability of funds of
emerging contractors in the continuity of the project. There is a time to engage labour and also a time
to lay off labour. Knowledge of this assists in funds management of contractors’. Regarding equipment,
they need regular maintenance and be adequate for high productivity with respect to on time completion
of project. Factors that measure labour and equipment related issues affecting emerging contractors’
funds management are: unskilled site manpower, improper equipment selection and faulty equipment
and labour dispute (Memon; Rahman; Abdulah and Azis, 2011) and (Aiyetan, 2010).
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2.2.4 Materials-related issues
The ability to adequately estimate materials requirement and produce schedule for on time delivery
affects emerging contractors’ profit. This is in order to avoid waste and excessive waiting time for
materials. Aiyetan, (2010) and Pourrostam; Ismail and Mansounejad, (2011) identify factors that
measures materials influences on contractors’ funds management as: poor quality materials, material
shortages, late delivery of material and material shortages resulting from damages. These factor are
applicable to emerging contractors’.
2.2.5 Consultant-related issues
The capability of consultant directly or indirectly affects the funds management of an emerging
contractor. Delays resulting in contractor staying long on site may incur additional overhead and other
cost. The factors that measures consultant contribution to emerging contractors’ poor funds
management as identified by Chen, (2007) are: inappropriate design, poor contract management, late
identification of errors and resolution of drawings; specification errors and omissions, late preparation
of drawings and other contract documents, improper contract packaging/delivery strategy, over
inspection, long waiting time for inspection and testing, inappropriate coordination of information,
inappropriate construction methods and poor supervision resulting in rework (Sunjka and Jacobs, 2013).
2.2.6 Community related issues
The issues of community relate to the participation in a project by the community members, which may
be in the form of labour supply, thereby reducing the cost of importing labour for the project. This
affords the opportunity to management funds well. Chen, (2007) and Meyer-Stamer, (2003) state that
the factors that measures the community related issues having negative impact of emerging contractors’
funds management are: lack of community buy-in, delay or non-payment of compensation and
community unrest, militancy and communal crises,
2.2.7 Contractual relationship related issues
Pourrostam; Ismail and Mansounejad, (2011) declare that it is important for the contractor to maintain
a healthy communication with professionals on a project. A healthy communication affords
accessibility to each other, the clarification of issues, promotes an avenue that workers look forward to,
regarding meeting and working. It aids in the elimination of disputes and litigation. These all affects
funds management. The factors that could be attributed to contractual relationship are: lack of adequate
communication between the parties, major disputes and negotiations and wrong organisational structure
linking to the project (Chen, 2007; Pourrostam; Ismail and Mansounejad).
2.2.8 External issues
Aiyetan (2010) declares that external factors such as rain, flood fire and so on, are factors that man has
no control over. Their occurrence could be devastating resulting in negative impact on funds of
contractors. Aiyetan, (2011) identifies these external factors as: weather conditions, change in
government's leadership and policies, natural disasters (e.g. floods, lightning strikes) and interference
by political leaders.
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2.3 Impact of emerging contractor challenges on project delivery time
From Aiyetan (2010), Chen (2007) and Thwala and Mofokeng (2012), twelve factors that influence
project delivery time were identified. They are:
 The client’s understanding of the design, procurement, and construction processes;

 Quality management during design;
 Quality management during construction;
 Management techniques used for planning and control;
 Economic policy;
 Constructability of design;
 Site ground conditions;
 Motivation of staff;
 Management style;
 Site access;
 Physical environment considerations, and
 Socio-political considerations.
All these factors have a huge impact on the project delivery time. Emerging contractors who know their
trade are able to overcome most of these challenges and finish their projects within time however for
those who rarely have technical and project management skills, business and financial management
skills, it becomes almost impossible for them to finish projects in time, within budget nor to ensure that
quality is being upheld to the highest standard. All stakeholders have a contribution and a role they play
in the life cycle of a project.
The key challenges to the failure of emerging contractors is linked to access to credit, financial
mismanagement, delayed payments by clients, inconsistent work flow, procurement practices, poor
quality of work resulting from poor supervision, inadequate training as well as little or no planning from
emerging contractors. Some of the challenges that have been identified by different scholars over the
years are due to poor planning and have an effect in the construction industry as well as in the financial
standing of emerging contractors. Business management, financial management and strategic planning
are the fundamental requirements that business owners should possess to ensure sustainability of their
businesses.
3. Research Methods
The sample frame for the study consisted of emerging contractors in KwaZulu Natal Province,
registered on the CIDB construction register between CIDB grades 1 – 5 in the general building
category. The research instrument for this study was a questionnaire survey. Simple statistical tools,
such as the mean score, percentages and frequencies were used to analyse data obtained. The research
is exploratory in nature. It used qualitative, quantitative and triangulation methods. Information or
research data is collected in the form of questionnaires from Emerging Contractors on issues relating to
challenges they face and funds management.
CIDB registered contractors between (CIDB grades 1 to 5) in the general building category within the
selected geographical area of KwaZulu-Natal. For selecting samples, recommendations from Leedy and
88
Omrad (2014) were employed. The probability sampling technique was employed for sample selection.
A random sampling technique was employed. The research instrument was administered to respondents
by means of the email or given out in site visits. These were received through the same means.
KwaZulu-Natal was divided into three main administrative regions, i.e. Southern, Northern and
Midlands region and a total of 40 responses were received. The average years of respondents’
experience is 8 years. Most of the respondents were aged between 31 years to 40 years. The highest
formal qualification was diploma at (42.5%), BTech degrees and Matric certificates at (27.5%)
respectively and lastly other related qualifications at (2.5%). Majority of respondents were registered
on CIDB grade 5 (50%). Respondents had been involved in constructing various types of building
structures with up to three floors. Based on these demographic findings, the data can be deemed reliable.
4. Findings
Table 1 presents challenges of emerging contractors based upon their average mean scores. From Table
1 it can be concluded that most of the challenges contribute to starting and managing a project. From
the table, late payments for the work done (MS=3.00), which ultimately leads to project delays has a
mean score (MS) of three (3), from a scale of 0 – 5. This agrees with the findings of Mashatole (2014)
as one of the challenges facing emerging contractors. It indicates that the factor has a moderately high
influence in the challenges faced by Emerging contractors. Payment may not be effected as a result of
poor work standard, which negatively affects the funds management of these contractors. The lack of
funds affects the purchasing power of these contractors’ relative to resources required (MS=2.95) for
the execution of project, hence they fail. The inability to secure credit for materials and bank loans
(MS=2.71) adversely affects their funds management. This could be as a result of credit worthiness or
lack of adequate knowledge to obtain them. This two factor agrees with the finding of Chen, (2007)
contributory factors to emerging contractors’ failure.
Table 1: Challenges of emerging contractors relative to funds management

S/No. Challenges of Emerging Contractor Mean Score Ranking
1 Late payment for the work done which ultimately causes project delays. 3.00 1
2 Lack of resources for either large or complex construction work 2.95 2
3 Inability to get credit from material and plant suppliers, inability to raise and 2.71 3
manage cash flows and to secure bank loans.
4 Inability to employ competent staff due to affordability 2.68 4
5 Lack of technical, financial, contractual, and managerial skills 2.50 5
6 Poor contract documentation skills 2.45 6
7 Lack of proper training 2.7 7
8 Lack of entrepreneurial skills 2.35 8
9 Fronting for established contractors 1.59 9
Tables 2a and 2b present the respondents' rating regarding the causes of challenges of emerging
contractors in funds management. The causes of challenges have been divided into eight main factors
which are client related issues, contractor related issues, material-related issues, consultant related
issues, community related issues, contractual relationship related issues and external issues, under each
main factor, there are sub-factors. The factors with the most influence in these categories have MSs >
1.46 ≤ 3.03, which indicates that these factors have between a near minor to moderate / moderate
influence on the challenges of emerging contractors in funds management. The factors that have the
most significant influence in each category are: delay or non-payment for completed works; mistakes
during construction stage; unskilled site manpower; late delivery of material; late identification of
89
errors and resolution of drawings, specification errors and omissions; community unrest, militancy and
communal crises; lack of adequate communication between the parties and weather conditions.
The probable reason for the sixth factor can stem from disputes within the community leadership
structures or lack of buy-in from the community, this usually results if stakeholders were not well
informed from the onset or interest are different from the stakeholders. The seventh factor is directly
linked with all the other factors, without proper and open communication channels, contractual
relationships are likely to suffer and lead to disputes within the project stakeholders. The eighth factor
is beyond human control, weather can affect the programme of works and needs to be taken into careful
consideration when drawing up the construction programme as well ensuring that there is enough
insurance to cover any damages that my result from effects of weather conditions. The least significant
factors in these categories are “improper contract packaging/ delivery strategy” and “natural disaster
(floods, lightning strikes)”. Although these factors are the least influential in these categories, it does
not imply their effects are negligible because of the challenges they pose in the funds management of
the project. These factors with the most influence in each category agree with the conclusion of studies
by Sunjka and Jacob (2013), Mashatole (2014) and Kulemeka, Kululanga and Morton (2015).
Table 2a: Causes of challenges of emerging contractors in funds management

Causes of challenges of emerging contractors in funds management Mean Score Ranking
Client related issues
Delay or non-payment for Completed works 2.58 1
Interference with project performance (vested interests) 2.34 2
Slow decision making 2.25 3
Insufficient funding 2.23 4
Design alterations and change orders 2.20 5
Impractical allocation of resources 1.94 6
Wrong choice of Consultants and sub-contractors 1.76 7
Unrealistic contract duration 1.64 8
Contractor-related issues
Mistakes during construction stage 3.00 1
Inadequate planning 2.85 2
Inadequate experience 2.68 3
Incompetent site management 2.68 4
Poor coordination of subcontractors 2.63 5
Inappropriate construction methods 2.58 6
Wrong choice of Bankers 1.59 7
Labour and equipment related issues
Unskilled site manpower 2.65 1
Improper equipment selection and Faulty equipment 2.61 2
Labour disputes 2.58 3
Materials-related issues
Late Delivery of Material 3.03 1
Material shortages 2.53 2
Material shortages resulting from damages 2.31 3
Poor quality materials 1.96 4
Consultant-related issues
Late identification of errors and resolution of drawings; specification errors and 2.04 1
omissions
Poor contract management 1.98 2
Inappropriate coordination of information 1.93 3
Late preparation of drawings and other contract documents 1.85 4
Inappropriate construction methods 1.83 5
Inappropriate design 1.74 6
Long waiting time for inspection and testing 1.71 7
90
Table 2b: Causes of challenges of emerging contractors in funds management
Poor supervision resulting in rework 1.70 8
Over inspection 1.49 9
Improper contract packaging/delivery strategy 1.46 10
Community related issues
Community unrest, Militancy and communal crises 1.78 1
Delay or Non-payment of Compensation 1.76 2
Lack of community buy-in 1.75 3
Contractual relationship related issues
Lack of adequate communication between the parties 2.13 1
Major disputes and negotiations 1.93 2
Wrong organisational structure linking to the project 1.69 3
External issues
Weather conditions 2.56 1
Interference by political leaders 2.54 2
Change in government's leadership and policies 2.10 3
Natural disasters (e.g. floods, lightning strikes) 1.46 4
Table 3 presents the respondents' rating regarding the impact of emerging contractor challenges on
project delivery time. The factor that has the most significant impact in this category is the “site ground
conditions” (MS=2.83). The probable reason for the lack of proper investigation in geotechnical studies
is: KwaZulu- Natal province has a very steep terrain and this makes it extremely difficult to access most
sites, based on this, most emerging contractors do not bother to conduct this test, which often times
result in structural failure culminating in rework. This corroborates with one of the findings of Sunjka
and Jacob, (2013) on causes of delay affecting contractors. This adversely affects the funds of emerging
contractors’ and project failure. The least significant factor in this category is “the client’s understanding
of the design, procurement, and construction processes” (MS=1.48). Although this factor is the least
influential in this category, it does not imply that its effect is negligible because of the impact it has on
project delivery time.
Table 3: Impact of emerging contractors’ challenges on project delivery time

S/No. Impact of emerging contractors’ challenges on project delivery time Mean Score Ranking
3.1 Site ground conditions 2.83 1

3.2 Physical environment considerations 2.68 2
3.3 Site access 2.59 3
3.4 Management style 2.55 4
3.5 Socio-political considerations 2.50 5
3.6 Motivation of staff 2.35 6
3.7 Constructability of design 2.09 7
3.8 Management techniques used for planning and control 1.98 8
3.9 Economic policy 1.88 9
3.10 Quality management during construction 1.73 10
3.11 Quality management during design 1.65 11
3.12 The client’s understanding of the design, procurement, and construction processes 1.48 12
5. Conclusions
Delay and non-payment for completed works; mistakes during construction stage; unskilled site
manpower; late delivery of material; late identification of errors and resolution of drawings,
91
specification errors and omissions; community unrest, militancy and communal crises; lack of adequate
communication between the parties and weather conditions are the main factors that influence emerging
contractors in funds management. Emerging contractors experience different challenges at different
phases of the project but these challenges can be overcome with proper professional training, proper
and adequate planning of project delivery strategy as well as securing sufficient funds prior to the
commencement of the project. Emerging contractors need to equip themselves with experienced
personnel who will assist them in starting and managing a project so as to avoid mistakes during
construction as well as have deeper understanding of the site ground conditions relative to construction
site they are working on. It is therefore, recommended that emerging contractors need to be properly
trained in managing finances from inception to completion of their projects to ensure sustainability of
their businesses. Secondly, emerging contractors need to possess technical skills in order to understand
the requirements of each project as well as the processes to be followed when a project is constructed.
References
Abdul-Rahman, H.; Takim, R and Wong Sze Min, R.W. (2009), “Financial-related causes
contributing to project delays”, Journal of Retail and Leisure Property 8(3), pp. 225–238
Aiyetan, A.O., (2010), Influences on Construction Project Delivery Time, Published Thesis at the
Nelson Mandela Metropolitan University, Port Elizabeth
Chen, Y.C.A. (2007), “A study of the causes of SMME failure”. Unpublished Research report,
University of Pretoria, Pretoria.
Chilipunde, R.L. (2007), “Constraints and Challenges Faced By Small, Medium and Micro Enterprise
Contractors in Malawi”. Unpublished Masters Treatise, Nelson Mandela Metropolitan University, Port
Elizabeth.
Kulemeka, P.J.; Kululanga, G. and Morton, D. (2015), “Critical Factors Inhibiting Performance of
Small- and Medium-Scale Contractors in Sub-Saharan Region: A Case for Malawi”, Journal of
Construction EngineeringVolume (2015), 2015, Article ID 927614, pp. 17.
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Leedy, P.D., and Omrod, J.E., (2014), Practical Research: planning and design, 11 Edition, Upper
Saddle River, NJ: Merrill Prentice Hall.
Mashatole, S., 2014,Constraints faced by small contractors in the Gauteng province of South Africa, 3 rd
International Virtual Conference of Informatics and Management Sciences 24-28 March, 2014, 3(1),
pp. 57- 68.
Materu, S., (2000), “Towards Sustainable Local Contracting capacity-CRB Approach”, 2nd
International Conference on Construction in Developing Countries, 15 Nov 2000 - 17 Nov, Gaborone,
Botswana.
Memon, H. A., Rahman, I. A, Abdullah, M. R., Azis, A. A. A. (2011), Assessing the Effects of
Construction Delays on MARA Large Projects. International Conference on Advanced Science,
Engineering and Information Technology.
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Meyer-Stamer, J., (2003), “Stimulating Rural Enterprise in South Africa: Lessons from Local Economic
Development”, Conference on Stimulating Rural Enterprise, Kempton Park, Johannesburg, South
Africa. 21 – 23 May 2003
Palalani, K. (2000), “Challenges Facing the Construction Industry: A Botswana Perspective”, 2 nd

International Conference in Developing Countries, pp 15-17, November 2000, Gaborone, Botswana.
Pourrostam, T., Ismail, A., Mansounejad, M. (2011), Identification of Success

Factors in Minimizing Delays on Construction in IAU-Shoushtar-Iran. Applied
Mechanics and Materials, Vols. 94-96, pp. 2189-2193.
Sunjka,B.P. and Jacob, U., (2013), “Significant Causes and Effects of Project Delays in the Niger Delta
Region, Nigeria”, SAIIE25 Proceedings, 9th – 11th of July 2013, Stellenbosch, South Africa © 2013
SAIIE
Ssegawa, J.K., (2000), “Prevalent Financial Management Practices by Small and Medium Construction
Firms (CFs) in Botswana”, 2nd International Conference on Construction in Developing Countries, 15
Nov 2000 - 17 Nov, Gaborone, Botswana.
Ssegawa, J.K. 2008, “Adequacy of Project Based Financial Management Systems of Small and Medium
Construction Enterprises in Botswana”, Published Thesis, UNIVERSITY OF SOUTH AFRICA
(UNISA), October, 2008.
Thwala, W.D and Mofokeng, G. (2012), “An Exploratory Study of Problems Facing Small and
Medium Sized Contractors in the Free State Province of South Africa”, Business Dynamics in the 21st
Century, Dr. Chee-Heong Quah (Ed.), ISBN: 978-953-51-0628-9, In Tech, Available
from:http://www.intechopen.com/books/business-dynamics-in-the-21st-century/an-exploratory-study-
of-problemsfacing-small-and-medium-sized-contractors-in-the-free-state-province
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DII-2017-030
Assessing the Application of Strategic Planning in
Improving Competitiveness of Small and Medium Scale
Contractors the Zambian Construction Industry
Danstan Bwalya Chiponde1, Chipozya Kosta Tembo2, Chimuka Milandu2,
Lawrence Punda Mutale2, Luckson Mitembo2
Abstract
Most contractors in the Zambian construction industry (ZCI) are small or medium scale and are
mostly viewed as uncompetitive as they normally fail to survive. This research endeavoured to
establish whether small and medium scale contractors (SMCs) in the ZCI employ strategic planning
to be competitive. A questionnaire survey was used to collect data from contractors in ZCI. The
findings indicate that there is a low level of application of strategic planning among SMCs in the ZCI.
Findings show that the most utilized strategic planning tools include vision and SWOT analysis with
PEST analysis being the least used. The study revealed that major factors leading to poor
competitiveness include poor workmanship and managerial skills. This study is significant because
performance and growth through the application of strategic planning may help develop and improve
delivery of infrastructure and development of SMCs, which is important in the improvement of
livelihood in the developing countries. Therefore, in order to compete favourably in the highly
competitive industry, small and medium scale contractors should apply strategic planning.
Keywords: construction industry, competitiveness, small and medium scale contractors, Zambia
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1. Introduction
Small and Medium scale Enterprises (SMEs) in Zambia like any other country contribute
significantly to the economy in various ways such as, gross domestic product (GDP), job
creation and taxation, hence the need to ensure that this sector survives the competition
resulting from globalization (Wang et al. 2007). However, past research conducted on SMCs
in Zambia established that, poor managerial skills, incompetent key personnel (NCC, 2005)
and unstructured strategic planning practices (Papulova and Papulova, 2006) are some of the
intangible causes of failure in SMCs. In addition, Zambian local SMCs do not have stable job
inflow as the nature jobs vary from time to time, which entails change of organisational design
as per project requirement (Zulu and Chileshe 2008). Hence, the need to have a tool that helps
with organisational changes and alignment of departments is inevitable. Comparatively, in
order to achieve the desired competitive advantage local SMCs need to employ appropriate
management. It is for these reasons that adopting appropriate managerial tools that are able to
enhance managerial skills, competence and planning skills is vital for the SMCs’ to enhance
1Lecturer; Construction Economics and Management, Copperbelt University; P.O. Box 21692; [email protected].
94
their competitiveness. Therefore, this research was conducted in order to assess how Zambian
SMCs can use strategic planning in gaining a competitive advantage. The specific objectives
of the study were:
 To investigate the perceptions of SMCs towards strategic planning.
 To identify the tools used and focus areas by SMCs in strategic planning.
 To identify the challenges faced in implementing strategic planning in SMCs.
1.1 Strategic planning

Strategic planning is the process of defining an organisational strategy or direction, and making
decisions on allocating its resources to pursue this strategy (Wang et al. 2007; Porter 1980; 1985). On
the other hand, strategies are long-term managerial guidelines guaranteeing the permanent
accomplishment of the company's overriding goals and objectives (Zavadskasetal. 2011). A strategic
planning process that adheres to the key elements of prescriptive strategic management theory through
the planning of a mission, the setting of objectives, and the implementation of strategies and control
systems is critical. This is in order to ensure that the objectives are achieved which may lead to indirect
improvements in performance by enhancing the effectiveness of management throughout the
organisation. The standard approach to strategic planning would also need to incorporate an external
environmental analysis to identify the opportunities and threats facing the organisation, and an internal
analysis to identify the organisation’s strengths and weaknesses (Dancer 2006). In order to achieve this,
tools that can be used for planning include Mission statement, Business plan, SWOT (Strength,
Weakness, Opportunity and Threat) analysis, PEST (Political, Economical, Social and Technological)
analysis, breakeven analysis and Scenario analysis. SWOT analysis can as well be utilised as an analysis
tool which may involve a number of different forms of analyses, for example, an examination of the
industry structure and an examination of the resource base of the organisation including the
identification of core competencies (ibid). With this knowledge, the company is able to create or review
organisational values, vision statement and mission statement. Thereafter, the company develops the
goals that will be achieved by the end of the planning period and the comprehensive strategies it will
employ to achieve them. Thus for each goal and strategy performance indicators are identified.
1.2 Types of strategies

Strategic planning has attracted debate for over two decades; however, this research discusses most
prominent debate between Porter’s (1985) and Mintzberg (1994) schools of thought in relation to the
deliberate and emergent strategic approaches respectively. Deliberate strategy or formal strategy is
where the intended strategy is actually realized and emergent strategy is the realization of unintended
strategy. Deliberate strategies follow a formal deterministic process that involves controls and
measurements that lead to an intended outcome even if it may or may not be achieved. Emergent
strategies on the other hand are because of a pattern of decisions that a company makes resulting in an
outcome that was never intended (Whittington and Cailluet, 2008).On the other hand, a positive
relationship between strategic planning and company performance could not be determined empirically
(Wulf et al. 2010). However, growing environmental turbulencehas made strategic planning
increasingly difficult. Notably, in his influential book ‘The rise and fall of strategic planning’ Mintzberg
(1994) laid the foundation for the (emergent) process school of strategy arguing that successful
strategies cannot be analytically planned but rather emerge in a process that involves creativity, intuition
and learning. In this context, open strategic thinking becomes more important than (formal) strategic
planning (Mintzberg, 1991). While seeing creative strategic thinking as the basis of successful strategy
creation is theoretically appealing, but it cannot be easily applied in practice since a clear set of tools
95
and strategy frameworks is missing and the turbulent environment (ibid). This might be one of the
reasons why top managers to date consistently rate (formal) strategic planning as one of the most
important management tools (e.g. Rigby and Bilodeau, 2007). Nevertheless, the frequent changes in the
practices of formal strategic planning, which have been observed in empirical studies, indicate that also
practicing managers are not fully content with current methods of strategic planning (Ocasio and
Joseph, 2008). Formal strategic planning seems to be lacking flexibility and openness, which allows for
responsiveness and improvisation that is needed in today’s dynamic, complex and volatile environment
(Wulf et al., 2010). Mintzberg (1994) argues that only open and creative strategic thinking will lead to
the emergence of those innovative strategies that lay the basis for superior performance. However,
Mintzberg does not provide a clear set of tools, which fosters implementation of strategic thinking in
companies. Thus, a synthesis is needed that combines the flexibility and openness typical of strategic
thinking with the clear frameworks and application-orientation of strategic planning (Whittington and
Cailluet, 2008).
Overall, formal strategic planning is characterized by the systematic use of various frameworks and
tools that allow a company to analyse its environment and position where it can attain competitive
advantage (Stonehouse and Permberton, 2002). They are many strategic planning processes and it is
important to choose the one that best fits your organisation or company. These frameworks and tools
include SWOT Analysis, Porter’s Five Forces, Value Chain Analysis, Financial Analysis, Human
Resource Analysis and Benchmarking Tools.Formal planning processes can strengthen and enhance
planning skills in organisations, but poorly designed processes can be detrimental to effective planning.
After criticizing other definitions of planning, Mintzberg (1993) concluded that planning is a formalized
procedure to produce an articulated result, in the form of an integrated system of decisions. Hence it is
inevitable for SMEs in the ZCI to pay particular attention to the external environment and consider
various factors in formulating their strategy besides having a deliberate or formal strategy in place.
1.3 Strategic planning implementation

It is one thing to formulate a company strategic plan and another to implement no matter how brilliant
it may be. The strategic plan describes and justifies the course of actions, on the other hand
implementation addresses who, where, when, and how (My Strategic Plan, 2014) It takes critical actions
to move a strategic plan from a document that sits on the shelf to actions that drive business growth and
organisations to prosper. Importantly, a strategic plan to be effective they have to be owned by the ones
implementing them (My Strategic Plan, 2014). Therefore, workers need to be empowered to carry out
the plan, provide progress reports and recognition of progress. Hence, in order to effectively implement
strategy, it is imperative that the company has the right people. This is critical especially for local
Zambian SMCs who have been cited as having the problem of incompetent key personnel (NCC, 2005)
and poor managerial skills (Sinyangwe, 2000). Further, the right people are those people with
competencies and skills that are needed to support the plan. Apart from empowering workers a
communication plan is critical, hence the need to have clear, open lines of communication with your
employees. Both management and technology systems help track the progress of the plan and make it
faster to adapt to changes (My Strategic Plan, 2014). As part of the system, it is also important to build
milestones into the plan that must be achieved within a specific period. Overall, in order to optimize on
the relationship between strategic planning and competitive advantage, SMCs should start by selecting
the type of competitive advantage they want, in order to obtain and then develop the competencies
needed (Clark, 2006). The competitive advantage could be in resources, value creation (Chiranni and
Saberi, 2012), Profitability (Potter, 1987; Grant, 2004), technology and innovation and human resource
(Cheng et al, 2011).
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1.4 Basic strategic planning models
McNamara (n.d) identifies the following strategic planning models:
 Model One - Vision-Based or Goals-Based Strategic Planning: This is a very basic process
normally carried out by top-level management and it is typically used by organisations that are
extremely small, busy, and have not done strategic planning in the past.
 Model Two - Issues-Based Planning: This model is used for organisations that have very limited
resources; several current, major issues; little success with achieving future-oriented goals; or
very little buy-in to strategic planning
 Model Three - Alignment Model: The overall purpose of the model is to ensure strong alignment
between the organisation’s mission and its resources to effectively operate the organisation. This
model is useful for organisations that need to fine-tune strategies or find out why they are not
working
 Model Four - Scenario Planning: This approach might be used in conjunction with other models
to ensure planners truly undertake strategic thinking.
 Model Five - “Organic” (or Self-Organising) Planning: Traditional strategic planning processes
are sometimes considered mechanistic or linear. Another view of planning is similar to the
development of an organism.
 Model Six - Real-Time Planning: Many experts assert that conventional strategic planning has
become rather outdated because the world is changing much more rapidly than before, to the
extent that conventional (especially long-range) plans quickly become obsolete. These experts
might assert that planning be done continuously, or in real time. Consequently, simulations and
business modeling are fast becoming one of the hottest management tools in use today. Managers
use simulations to test-drive new processes before they are implemented, identify the most
impactful drivers of profitability, or to assess new go-to-market strategies and likely competitor
responses.
1.5 Competitiveness and strategic planning
Competitiveness is the capability of the organisation to do its activity in a way that is different from
what other competitors can (Kotler, 2000). In other words, competitiveness is the extent to which an
organisation is able to create a defensible position over its competitors and the said position allows them
to gain more profits than the competitors (Cheng et al., 2006). According to Analou and Karami (2003)
competitiveness is a base for a good strategy and a good one creates competitive advantage. Competitive
advantages are simply those factors that a firm needs to have in order to succeed in business (ibid).
Gaining competitive advantage has become crucial for the Zambian SMCs due to the competitiveness
of the sector. This is because the competition that has come with globalization in the construction
industries of developing countries has the potential to destroy non-competitive contractors (Ofori,
2012). An estimate of about 70% of the construction market share goes to foreign contractors and
consultants in the Southern African region (ibid) Zambia inclusive. Zulu and Chileshe (2008) affirms
that the performance of Zambia contractors is apparently below expectation, and that it is common for
local projects to be incomplete or significantly delayed. Some of the internal factors that lead to failures
by local contractors include failure to employ competent and qualified key personnel (NCC, 2005). In
addition, the majority of companies have no economic basis for bidding for the jobs they tender for
resulting in contract bid being far below what it would take to professionally execute the works, let
alone make a profit (NCC, 2005). Consequently, this leads to cutting corners, thus compromising the
standards of workmanship or resorting to buying poor or substandard materials. This is not surprising
97
as O’reagan and Ghobadian (2002) suggest that small and medium scale companies have a less
structured approach to strategic planning deployment. Additionally, Papulova and Papulova, (2006)
established that strategic planning practices in small firms have been found to be unstructured, irregular,
and incomprehensive. They are best described as informal as they are almost never written down and
are rarely communicated beyond the chief executive’s closest associates (ibid). Besides, the strategic
focus in small businesses takes on a more limited time horizon than in large organisations, usually
covering periods of two years or less (ibid). Further, according to Mofokeng and Thwala (2012), most
contractors in developing countries face the problems of incompetency and poor workmanship, which
are mostly attributed to lack of personnel competency. Such a scenario can equally be related to the
Zambian Construction where SMCs are faced with similar challenges. In addition, Zulu and Chileshe
(2008) attributed failure by small-scale businesses in Zambia to poor management skills amongst other
factors. These skills may include the lack of effective planning tools that are needed to identify the
company’s core competence, which is a basis fora sustainable competitive advantage. Hence it is
therefore imperative to take a strategic approach by the local SMCs if they are to gain competitive
advantage realizing the competition that has been created by globalization.
1.6 Methodology
The research approach used a questionnaire survey with a questionnaire that comprised of both open
and closed questions resulting in qualitative and quantitative responses. The data were collected in a
cross-sectional manner with the target group being small and medium scale contractors and regulators
of the contractors, that is, National Council for Construction (NCC) and the National Association for
Small and Medium Scale Contractors (NASMC). The Small and medium scale contractors in the
building and civil category in Group 4-6 registered with NCC were targeted. Stratified sampling was
used for contractors as the groups are homogeneous in nature (Saunders et al, 2012). A total of 66
questionnaires were distributed. 42 questionnaires were collected resulting in a response rate of 67%.
The open ended questions were analysed interpretively while the quantitative data was analyses using
descriptive statistics (means, frequency and modes).
1.7 Results and discussion
1.7.1 Use of strategic planning documents in place and how often are the strategic plans
reviewed
The results show that the majority 56% do not have a strategic planning document while 44 % do have
a planning document. The implication is that most firms if they do apply strategic planning do so
informally as noted by other researchers among SMCs (Mofokeng and Thwala 2012). In addition, it
was found that for those that have planning documents 20% rarely review the strategic plan, 15% review
the plan after an event, 10% review it quarterly, 7% review it twice a year and 5% review it annually,
30 % do not review it at all while 10% indicted that the review is done frequently. Additionally, NCC
described the type of planning employed by SMCs as being informal as it is not comprehensive. This
is congruent with the findings of O’reagan and Ghobadian (2002) and Wang et al (2007). On the other
hand, NASMC described it as being structured. The difference in observation between NCC and
NASMC could be because NASMC is made up of the SMCs who view their planning as structured.
98
1.7.2 Focus areas of strategic plans of contractors
For the companies that have a strategic plan, a question was asked on what is actually included in the
plan. The survey showed that a majority of contractors consider profit targets and output targets in their
strategic plan (See Table 1). Product differentiation is not so much considered followed by cost
leadership. Staff training is rarely considered.
Table 1: Focus areas of strategic plans in SMCs

Strategic Plan Focus Area Percentage
Profit Targets 41%
Output Targets 38%
Business level objectives 38%
None 33%
Cost Leadership 13%
Product Differentiation 10%
Staff training 3%
The findings established that strategic planning in SMCs is incomprehensive, as it does not cover
various aspects that matter as far as planning is concerned. The majority (72%) of the SMCs indicated
that they have competence gaps in their organisation. Lack of comprehensive strategic planning justifies
the reason why SMCs have competence gaps in their companies as there is no serious consideration of
staff training in their planning as shown in table 1. The components of cost leadership, product
differentiation and staff training are vital for a firm’s competitive advantage (Cheng et al, 2011; Porter,
1985). However, the underutilization of these key components in SMCs’ strategic plans substantiates
the reason they are lacking managerial skills and are uncompetitive. To conclude, planning for SMCs
used in the industry using McNamara (n.d) models one would place majority of rims at Model Two -
Issues-Based Planning as organisations strategic planning seem un-formalised and resource deficient.
This is what was established by Mofokeng and Thwala (2012).
1.7.3 Perceptions of SMCs towards strategic planning

A 5-point Likert scales with 1strongly disagree and 5strongly agree was used to determine the
perceptions of SMCs. Table 2 shows the perceptions of the respondents.
Table 2: Perceptions that SMCs have towards of strategic planning

Item
Disagree
Partially
Disagree
Strongly
Strongly
Agree
Mean
agree
agree
score
Strategic planning makes it easier to manage business. 3 13 16 4

Planning in SMCs is mostly by intuition and business decisions 4 6 11 8 3 3
are done as such.
Strategic planning creates bureaucracy. 3 7 15 5 2 3
Strategic planning is critical for the business success of SMCs. 1 26 5 4
SMCs spend time gathering industry information. 4 5 5 15 3 3
SMCs spend time analysing competitor strategies. 10 1 10 6 5 3
Lack of planning allows fast decision making. 9 10 3 6 4 2
SMCs know where they will be in 3 - 4 years’ time. 1 4 15 12 4
Long term planning is redundant as the business environment 2 5 11 9 5 4
changes fast
99
It was established that majority of contractors perceive that strategic planning makes it easier to manage
a business and that it is critical for the success of a business yet few have strategic plans in place.
Further, contractors submitted that planning in SMCs is mostly by intuition and that it creates
bureaucracy. Contractors also claimed that they spend time gathering industry information and
competitor information. It was acknowledged that SMCs lack of planning does not allow for fast
decision-making, and that long term planning is redundant as the business environment changes too
fast. Given the findings, it is evident that SMCs employ emergent planning approach as the majority of
contractors agreed to the fact that planning is mostly by intuition and business decisions are done as
such (Mintzberg, 1991). Long term planning is viewed as redundant as the business environment
changes fast. Hence, in today’s challenging business environment companies must proactively react to
change or be left behind. In essence, SMCs must adopt a strategy that provides for both short term (rapid
changes) and long term needs realizing that the construction industry is dynamic.
1.7.4 Strategic planning tools used by SMCs
In as much as there is a great appreciation of the significance of strategic planning in the success
of contractors, its practical use leaves much to be desired, as most contractors’ strategic
planning tools are not utilized comprehensively in the ZCI.This is illustrated in table3which
shows the planning tools used by SMCs. The most commonly used planning tools by contractors are;
business plan (48%) followed by mission statement (46%). Then vision (44%) was 3rd which is followed
by SWOT analysis (20%). The others such as PESTLE analysis, breakeven analysis and Scenario
analysis are rarely used. Whilst 17% indicated that they have no strategic tool being used. The
underutilization of planning tools has been mainly attributed to the lack of knowledge. This also
substantiates the argument that planning in SMCs is mostly unstructured, incomprehensive, informal
and that it is mostly intuitive because of the underutilization of planning tools (Odame, 2007). Further,
this also explains why lack of managerial skills is the cause of failure of most small and medium scale
businesses. This is so because these tools help a company to examine the industry structure and resource
base of the company including identification of core competencies. Core competencies can help the
company to build a sustainable competitive advantage that can ultimately facilitate the growth and
longevity of a company.
1.7.5 Company strategy ownership
It has been argued that for a strategy to be effective it has to be understood by those implementing it
(My Strategic Plan, 2014). The findings reveal that in most (44%) cases only management understands
the goals, mission and objectives of the company this group is followed by both management and low-
level employees at 31%. 25% indicated that the strategy is known by the company owner only. Given
that not all are involved in the day-to-day activities of SMCs and understanding the company strategy,
it is not surprising that its implementation comes with challenges.
1.7.6 Challenges faced by SMCs
Table 3 highlights challenges associated with strategy implementation. From Table 3, a number of
contractors attributed the failure to realize the company strategy mostly to the failure to link the strategy
and the budget (59%) and the least to, typical workers not understanding the company strategy (41%).
It could be argued that the contractors may be to blame for typical workers not understanding the
company strategy.
100
Table 3: Shows the challenges for not realizing strategy
Challenges Percentage
Failure to link strategy and budget 59%
Failure to link employee incentives to strategy 56%
Less time spent discussing strategy 48%
Typical workers do not understand company strategy 41%
1.7.7 Factors limiting the SMCs competitive advantage

It was established that apart from capital, plant and equipment, and infrastructure; incompetent
personnel, poor workmanship, poor managerial skills and untimely completion of projects are
the major deterrents to SMCs competitiveness (see Table 4).
Table 4: Factors hindering the competitive advantage of SMCs

Factors Percentage
Incompetent Personnel 71%
Poor workmanship 67%
Poor Management skills 59%
Untimely completion 49%
These findings are congruent with similar studies e.g. Mofokeng and Thwala (2012) who attributed lack
of competiveness to poor workmanship and incompetent personnel while Sinyangwe (2000) attributes
it to poor management skills.
2. Conclusion
Strategic planning is important for the survival of businesses more so for SMCs. In the Zambian
Construction Industry, most SMCs do not have strategic plans in place in their organisations. This has
made them less competitive as they do notapply strategic planning principles such as being a
product/cost leader, innovation, etc. This is also worsened by those in the implementation ranks of the
company not being able to understand the goals, vision and mission of the organisation. It has also been
established that not many SME organisationsthe Zambian construction industry use strategic planning
tools. Therefore, for the SMCs to be competitive they have to adopt strategic plans, use strategic tools
and endeavour to differentiate their products by being innovative.The aforementioned are the
contributed made by this research by clearly identifying areas needing improvement in SMCs for the
improvement of their competitiveness.
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103
DII-2017-056
Obstacles to Risk Management Implementation in

Construction Small and Medium Enterprises in South
Africa
Berenger Y. Renault1, Justus N. Agumba2, Nazeem Ansary3
Abstract
The implementation of risk management practices (IRMP) in construction projects is often affected by
several obstacles which can endanger the achievement of project objectives. Regrettably, there is a
paucity of empirical studies investigating these obstacles in the South African construction industry
(SACI), especially in the small and medium enterprises (SMEs) sector. Hence, the current study sought
to investigate the major obstacles hindering the IRMP at project level of SMEs. A structured
questionnaire consisting of eighteen factors was used to collect data from SMEs who were conveniently
sampled. The data was analysed using the Statistical Package for the Social Sciences (SPSS) version
23, computing descriptive statistics. The results indicated that: unsupportive organisation culture, lack
of qualified personnel and inadequate training were the major obstacles hindering the IRMP. The results
of the study will provide professionals in the CI with information on factors that hinder the IRMP in
construction projects of SMEs. This will enable construction SMEs to conscientiously incorporate RM
in their professional work and that would result in better project performance.
Keywords: construction, Gauteng, project success, risks, small and medium contractors, South Africa
11
1. Introduction
The risky and challenging nature of the SACI leads to its rather poor reputation in comparison to other
industries (Shunmugam and Rwelamila, 2014). The rate of challenging projects in this industry is
among the highest of all industries (Rounds and Segner, 2011). Shunmugam and Rwelamila (2014)
indicated thatorganisations in the CI face major difficulties in meeting their projects’ planned schedules
in the most cost effective manner and at the desired quality. Many authors (Zhao et al. 2015; Beasley
et al. 2010; Smit, 2012:137; Zou et al. 2006) have emphasised that in order to achieve the project
objectives in terms of time, cost and quality, organisations have to implement and practice RM.
Additionally, Skeen (2012) articulated that driving a culture of risk awareness and management adds
value to the entire organisation resulting in overall improved project management ability. However,
there is an assertion that although RM has been a topic of great interest, very little is actually practiced
or carried out correctly (Laryea 2008; Taroun, 2012). A study by Chihuri and Pretorious (2010) found
that in SA, RM was also not widely used in the engineering and construction environment, and there
was a lack of actual adoption and IRMP. Cooke-Davies (2002) study established that project success is
1Postgraduate;Department of Construction Management and Quantity Surveying; University of Johannesburg; PO Box 17011,
Doornfontein Johannesburg, South Africa; [email protected].
2Senior Lecturer; Department of Construction Management and Quantity Surveying; Durban University of Technology; Steve
Biko Campus, Durban, South Africa; [email protected]

3HOD; Department of Construction Management and Quantity Surveying; University of Johannesburg; PO Box 17011,
Doornfontein Johannesburg, South Africa; [email protected]
104
highly dependent upon the IRMP. Rounds and Segner (2011) described it as one of the most capable
areas and critical procedures that help to complete projects successfully. In order to improve the
performance of the CI, some studies indicate casual relationships between IRMP and project success
(Funston, 2003). Therefore, it could be argued that awareness of and subsequent IRM could contribute
to the enhanced project performance. Furthermore, empirical evidence has shown that some
construction organisations in SA that do not implement RMP, often resulted in project exceeding
budged cost and behind schedule (Shunmugam and Rwelamila, 2014; Chihuri and Pretorious, 2010).
The Association for Project Management (APM) (2013) stated that resources to support RM
implementation and its continued application are unrealistic for SMEs and beyond their capability and
affordability. Previous studies have reported a number of obstacles hindering RM implementation in
the SACI (Chihuri and Pretorius, 2010; Shunmugam and Rwelamila, 2014; Fischer, 2016). These
studies were conducted among large contractors and did not consider small and medium contractors.
Furthermore, a review of literature in SA indicates limited studies on SMEs pertaining to obstacles in
implementing RM. Hence, the current study was undertaken to fill this gap by investigating the
obstacles impeding RM implementation at project level of construction SMEs. The results of the study
will boost the knowledge of industry practitioners on the obstacles impeding the implementation of RM.
In addition, other construction firms can use the obstacles identified in this study to prepare their
customised list of obstacles.
2.1 Challenges facing small and medium construction enterprises
Despite being the lifeblood of SA economy (Sayed and Sunjka, 2016), the South African SMEs sector
is still inundated with several challenges which include lack of resources management and lack of
trained professionals (Smit, 2012). These challenges have impacted the overall execution of and
application of project management concepts and principles among the stakeholders. Although previous
SA studies (Thwala and Phaladi, 2009; Abor and Quartey, 2010) have addressed project management
challenges such as poor procurement systems, lack of management capacity and lack of available
resources to equip managers to operate their businesses effectively, they have never addressed the
factors hindering the IRMP directly. Furthermore, The Institute of Risk Management South Africa
(IRMSA) Risk Report (2015) indicated that poor project management was one of the main causes of
delays and disruptions in SA construction projects. These challenges could worsen the current state of
poor project performance of SMEs globally.
2.2 Risk management status of the South African construction industry

Regardless of the initiatives deployed by the South African government to improve project management
and quality performance, project overruns continue to occur in South Africa (Shunmugam and
Rwelamila, 2014); for example, the Gautrain project which was only ready two years after its baseline
completion date and cost R14 billion over budget (South African Politics, 2013). A further example is
an R2.5 billion contract for a multi-product pipeline between Durban and Gauteng for Transnet was
estimated to cost R23.4 billion and the completion date was almost 3 years late (Guern Le, 2013). The
continuing ineffective project risk management of the CI in the form of cost and time overruns, poor
quality achievement, project not meeting technical requirement, project not achieving user/client
satisfaction, provided the catalyst for a new approach to RM in the form of consolidated construction
RM and regulatory compliance legislation such as the Construction Regulations of 2003. This
legislative framework required new multi-stakeholder interventions (Abor and Quartey, 2010).
However, Taroun (2012) indicated that there was a very little commitment to conforming to basic
105
requirements, let alone promoting a culture of RM. SMEs contractors could hardly maintain their RM
tools and equipment and regarded RMP as costly activities. Improvement of the standard of RM
performance of construction SMEs could inevitably be helped by continuous monitoring and review of
their RM performance.
2.3 Obstacles hindering the IRMP

2.3.1 Theoretical review of literature
A study conducted by Fischer (2016) identified seven obstacles to RM implementation namely Lack of
time, lack of knowledge, lack of potential benefits, project not large enough to warrant the use or RM
tools and techniques, lack of funds, lack of joint risk management and competition amongst small
construction companies. Fischer (2016) undertook a study on risk management and presented three
significant barriers to effective risk management which included lack of a formal RM system, a lack of
joint RM shortage of knowledge and or techniques.Furthermore, Chihuri and Pretorius studies (2010)
listed the following obstacles in their study: lack of appreciation of the benefit associated with RM
implementation, inadequate time to implement risk management effectively on fast paced projects,
deficiency in project risk management knowledge, perception that project risk management is costly.
In this study, a total of eighteen (18) obstacles were identified, as shown in Table 1. Confronted with
these obstacles, firms in various industries tend to find it difficult to fully implement RM practices and
the percentage of companies adopting or implementing RM was not high (Zhao et al. 2015). According
to Beasley et al. (2010), 46 percent of the global respondents had a formal RM process while only 11
percent of American respondents possessed a complete RM process.
Table 1: Obstacles to IRMP
Obstacles to risk management practices Source

Insufficient resources (e.g. time, money, people.) Smit (2012)
Lack of formalized risk management process Smiechewicz (2001)
Lack of risk management techniques and tools Kleffner et al. (2003)
Lack of internal knowledge, skills, and expertise Schrøder (2006)
Lack of qualified personnel to implement risk management Beasley et al. (2010); Zhao et al. (2015)
Lack of risk management information systems Funston, 2003; Zhao et al. (2015)
Lack of a common risk language Nielson et al. (2005)
Lack of risk management knowledge Smit (2012)
Inadequate training on risk management CIDB (2008); Smit (2012)
Lack of commitment of the board and senior management Weinstein et al. (2003)
Lack of the board or senior management leadership Smit (2012); Funston (2003)
Lack of a clear risk management implementation plan DeLoach (2000); Smit (2012)
Employees’ reluctance to share risk information Funston (2003); Nielson et al. (2005)
Difficulties in quantifying the risks Zhao et al. (2015)
Low data quality Weinstein et al. (2003); Schrøder (2006)
Lack of data Zhao et al.(2015); Schrøder (2006)
Lack of risk awareness within the organisation Smiechewicz (2001)
Unsupportive organisation culture Funston (2003); Smit (2012)
A recent study conducted by Zhao et al. (2015) reported that none of the Singapore-based Chinese
construction firms had high-level RM implementation. Likewise, a study conducted on SA contractors
established that there was insufficient knowledge/understanding of the RM processes and a lack of
106
adequate skills to carry out processes (Shunmugam and Rwelamila, 2014). These findings indicate the
importance of investigating the hindrances faced by these firms to implement RMP.
Insufficient RM knowledge and the compromising attitude of personnel might be a significant obstacle
to RM as it obstructs comprehensive and open risk discussions (Smit, 2012). The CIDB (2008) report
in SA pointed out that small and emerging contractor encountered challenges in obtaining a formal
education. The lack of formal education could hinder the IRMP. Management’s priorities (Smit, 2012)
and reluctance of management to discuss sensitive information in different firm units (Funston, 2003)
were also identified as obstacles to RM implementation.
A further obstacle to RM activities originates from the uncertainty about how RM adds value to a firm
(Kleffner et al. 2003). To overcome this, robust support for RM activities, along with clearly defined
and communicated expectations of the value the firm aims to derive from the RM process, is important
in establishing a strong risk culture (Schrøder, 2006).
A further requirement to RM success is that executive management of SMEs must assume primary
responsibility for RM in its corresponding areas (DeLoach, 2000). Nonetheless, the complex nature of
RM requires expertise that is best utilised if placed in one firm unit that is responsible for supervising
the process. This will ensure continuity of RM actions, as well as consistency in application (Smit,
2012). In practice, this is hard to implement as specialized knowledge, skills and experience are required
for such a unit, as well as a more active organisational role that goes beyond traditional consultation
activities, which may be contrary to the existing firm culture (Schrøder, 2006). To be successful, RM
should be aligned to the management teams in the different units as this alignment helps in enhancing
their understanding of the business functions they support (Kleffner et al. 2003). Further key
components for ensuring RM success is the alignment of the RM strategy with the firm’s overall
business strategy, and the integration of RM into the organisational processes, as risks, are the best
managed as close as possible to the source of the risk (Smiechewicz, 2001).
The main obstacle in RM implementation is the lack of a common risk language, which should support
discussions around risks, both holistically and departmentally, and RM methods (Nielson et al. 2005).
Each employee interprets and understands business risks differently, which imposes the formulation of
a common risk language to ensure that risk is seen in a consistent and comparable way by all parties in
the organisation (Smiechewicz, 2001).
Barrese and Scordis (2003) and Schrøder (2006) indicated that RM concepts, applications, and
capabilities must be embedded into the firm’s corporate training curriculum. The importance of training
and learning is stressed by Weinstein et al. (2003) who declared that firm and individual learning should
support the RM process. Further obstacles highlighted were difficulties in quantifying the risks, the
wide span of the risk universe and managers’ inability to understand simple risk tools (Zhao et al. 2015).
The lack of quality data, limited access to data due to inadequate integration between systems, lack of
data mapping and risk modelling tools, which some authors regard as the largest obstacles in effective
RM application (Zhao et al. 2015). The segmental approach towards different types of risks that still
prevails in firms (Schrøder, 2006).
107
2.3.2 Review of empirical research
Building on the perceptions detailed earlier, the trends from some other parts of the world on the factors
hindering the IRMP are summarized below:
United Kingdom: Rostami et al. (2015), investigated the factors hindering the IRMP among SMEs. It
was highlighted that none of the available RM standards explain the fundamental principle of applying
RM to the situations that SMEs find themselves in. It was further established that lack of management
skills and knowledge in the adoption of RM tools or techniques were the major factors hindering the
IRMP among UK SMEs.
Singapore: A survey conducted by Hwang et al. (2013) established that lack of time; lack of budget;
low-profit margin; and not economical were the most recurrent hindrances to RM implementation. Yet,
RM was identified to be crucial for project success (Hwang et al., 2013).
Hong Kong: Tummala et al. (1997) study concluded that formal RM processes were used minimally.
The time required and the difficulty in interpreting the results of RM processes; the lack of RM skill
and resistance to change, were found to be the major barriers to RM implementation; yet the majority
of the participants believed that RM could positively contribute to project success (Tummala et al.
1997).
Ghana: A study conducted by Buertey et al., (2012) established that the majority of professionals who
participated in a survey related to RM in the construction industry had no knowledge regarding RM
theories and techniques.
Tanzania: Chileshe and Kikwasi (2013) study found that awareness of risk management process, lack
of experience and lack of information were the most significant barriers to implementing risk
assessment and management practices by construction professionals.
A review of the previous studies by South African researchers on RM in the CI corroborates the results
from the global studies. Makombo (2011) study found that the obstacles related to RM were found to
be the skills gap amongst the professionals in dealing with such issues, poor scope management and a
lack of focus on RM in the project initiation phase; hence, RM is almost always a ‘crisis-management’
endeavour. Most of the respondents stated that they had not planned RM activities, and there was no
formal RM-structure in place. Similarly, a survey among over half of the South African organisation
revealed that there was a lack of formal RM policies and procedures, and there was a lack of RM training
(Visser and Joubert, 2008). These findings were also identified by Mbachu and Nkado (2007) in their
earlier study.
From the foregoing review of the literature, it is apparent that project success is extremely reliant on
the aptitude of the project team to deal with risks. Nonetheless, there is a dominant issue of insufficient
skills, inadequate training in risk management, lack of risk-management knowledge, and lack of
understanding of the RMP.
108
3. Research Methodology
3.1 Population and data collection
An extensive literature review was conducted in journal articles, conference proceedings, and relevant
risk management books. A list of 18 obstacles was identified which were included in the structured
questionnaire which was later pre-tested among construction SMEs drawn from the Construction
Industry Development Board (CIDB) register of contractors. The respondents rated the obstacles on a
four-point Likert scale (1=Very minimal obstacle and 4= a major obstacle), the extent to which each
factor has been an obstacle to the implementation of risk management practices for their projects.
3.2 Sample and sampling method
Following the questionnaire pre-testing with SMEs personnel or those who were knowledgeable of RM
practices in their organisations, the final refined version of the questionnaire was presented to 225
conveniently sampled SMEs using personal hand delivery and collect method of which 187
questionnaires were returned of which 6 were excluded from the study due to various ambiguity
(questionnaire incorrectly answered, respondents’ information missing and inadequate information
provided).Consequently, the remaining 181questionnaires were deemed usable representing
approximately 80% response rate.
3.3 Data analysis
The Statistical Package for Social Sciences (SPSS) version 23 was employed to analyse the data
generated by the research questions. The following statistical methods were used: frequency analysis,
percentage, means score, and standard deviation. Frequency and percentages were used to analyse the
socio-demographic characteristics of the respondent and the information about the company. Mean and
standard deviation values were used to respond to the research questions on the obstacles hindering the
implementation of risk management practices. Review of the literatureindicates that such approaches
have been adopted previously in survey related studies (Visser and Joubert, 2008; Rostami et al. 2015).
The measurement instrument was also tested for validity and internal consistency. Validity was ensured
as a result of conducting an extensive literature review by consulting previous related studies, this was
requisite to specify the variables. The questionnaire was reviewed and revised by experts (academics,
researcher’s promoter, and a professional statistician) before the pilot study took place. Internal
consistency was assessed using Cronbach’s Alpha. A generally agreed upon minimum limit for
Cronbach alpha is 0.70 (Hair et al., 2006). However, a cut-off value of 0.60 is common for exploratory
research and values closer to 1 suggest good reliability (Zaiontz, 2014).
4. Survey Results and Discussion
4.1 Respondents’ information

Table 2 presents information on respondents. It is obvious that 87.56% of the respondents were either
owners or managers of their enterprise, male (81.80%), African/Black (56.40%), had either
Matriculation (22.70%) or a Certificate (20.40%), 43.10% of respondents had 10 years’ or less
experience in construction.
109
Table 2: Respondents’ information
Frequency Percentage
Position
Owner 56 30.90
Owner/Manager 40 22.10
Project Manager 31 17.10
Manager 28 15.50
Other 26 14.40
Total 181 100.00
Gender
Male 148 81.80
Female 33 18.20
Total 181 100.00
Population group
African/Black 102 56.40
White 47 26.00
Asian/Indian 18 9.90
Coloured 14 7.70
Total 181 100.00
Qualification
Matric 41 22.70
Certificate 37 20.40
HND/Diploma 29 16.00
Honours/BTech/BSc 27 14.90
Basic schooling 26 14.40
Master’s degree 11 6.10
No qualification 5 2.80
Doctorate degree 3 1.70
Missing 2 1.10
Total 181 100.00
Experience in construction (years)
1-5 30 16.60
6-10 48 26.50
11-15 29 16.00
16-20 22 12.20
21-25 7 3.90
26-30 14 7.70
31-35 7 3.90
Over 36 9 5.00
Missing 15 8.30
Total 181 100.00
4.2 SMEs profile

Table 3 indicates that 37.60% of SMEs were subcontractors or general contractors (31.50%), working
mostly in Johannesburg (41.40%) and Tshwane (30.90%) Metropolitan Municipality. Nevertheless, the
subcontractors either operated for the main contractor or were sole trade contractors.
110
Table 3: SMEs profile
Frequency Percentage
Type of contractor
Sub-contractor 68 37.60
General Contractor 57 31.50
Specialist contractor 32 17.70
Civil contractor 12 6.60
Home building contractor 9 5.00
Missing 3 1.70
Total 181 100.00
Municipality
City of Johannesburg Metropolitan Municipality 75 41.40
City of Tshwane Metropolitan Municipality 56 30.90
Ekurhuleni Metropolitan Municipality 19 16.60
West Rand District Municipality 30 10.50
Missing 1 0.60
181 100.00
Total
4.3 Ranking of obstacles by respondents
This section reports on the obstacles which could hinder the IRMP in SMEs construction projects. These
obstacles were tested for validityand internal consistency. The overall Cronbach’s alpha of the factor
was 0.765 and the one of each item ranged from 0.731 to 0.775 (Table 4). These values were all greater
than the suggested value of 0.60, indicating good reliability (Zaiontz, 2014).
As indicated in Table 4, unsupportive organisation culture (M=3.44; SD=0.670), lack of qualified

personnel to implement risk management (M=3.43; SD=0.643), inadequate training on risk
management (M=3.41; SD=0.836), lack of internal knowledge, skills and expertise (M=3.32;
SD=0.565), lack of risk management techniques and tools (M=3.30; SD=0.623) and insufficient
resources (M=3.30; SD=0.931) were the major obstacles in the implementation of risk management
practices. The standard deviation obtained suggested that the responses of the respondents were not
mostly centered on the mean.
These findings indicated that the corporate culture of construction SMEs in Gauteng do not
support RM implementation. Also, the behaviours directed by the corporate culture were not
conductive to RM implementation. This finding was similar to the findings of Zhao et al.,
(2015), where unsupportive organisation culture was found as the major obstacle to RM
implementation within construction companies operating in Singapore. The lack of qualified
personnel as a hindrance to risk management practices is in line with the findings of Klemetti
(2006) who established that lack of education was a significant obstacle to implementing RM
in construction. The staff qualified to implement RM must possess the knowledge, skills, and
experts relating to RM in order to be actively involved in RM implementation practices.
Without these qualified staff, SMEs would face the difficulty in carrying RM. Under these
circumstances, SMEs should employ external consultants to provide training programs for the
relevant staff, or to help initiate RM.
111
Table 4: Obstacles to implementing risk management practices
Obstacles to RM implementation practices Mean SD Cronbach’ Rank
alpha (0.765)
Unsupportive organisation culture 3.44 0.670 0.775 1
Lack of qualified personnel to implement RM 3.43 0.643 0.742 2
Inadequate training on risk management 3.41 0.836 0.731 3
Lack of internal knowledge, skills, and expertise 3.32 0.565 0.745 4
Lack of risk management techniques and tools 3.30 0.623 0.757 5
Insufficient resources (e.g. time, money, people) 3.30 0.931 0.762 5
Employee’s reluctance to share risk information 3.25 0.761 0.746 6
Lack of the board or senior management leadership 3.18 0.653 0.755 7
Lack of commitment of the board or senior management 3.17 0.695 0.747 8
Lack of risk management information systems 3.15 0.628 0.758 9
Lack of formalised risk management process 3.15 0.619 0.760 9
Lack of a clear risk management implementation plan 3.14 0.569 0.755 10
Lack of risk management knowledge 3.13 0.746 0.744 11
Lack of data 3.03 0.759 0.769 12
Lack of risk awareness within the organisation 3.01 0.601 0.760 13
Lack of a common risk language 3.00 0.650 0.749 14
Difficulty in quantifying the risks 2.86 0.684 0.768 15
Low data quality 2.85 0.792 0.762 16
SD: Standard deviation
The results of inadequate training on RM were consistent with those of Tam et al. (2004) who
established that inadequate training posed difficulty in implementing RM in various industries.
Without adequate training, the personnel would not clearly understand RM philosophy and
policy. Furthermore, the application of RM techniques and tools, the potential benefits and
risk-aware culture would not be built up across the firm, even if an RM program had been
initiated. These results are also in accordance with the results of Karimi et al., (2010) who
established that many construction firms in developing countries are small-to- medium
construction enterprises and hence, do not have the facilities to provide fortraining. The current
findings on lack of internal knowledge, skills, and expertise echoed the findings of
Smiechewicz (2001) that reported the low-level of RM knowledge among Chines construction;
these contractors were not likely to possess adequate internal knowledge, skills, and expertise
relevant to RM and most of them obtained these resources from the parent companies.

The study sought to investigate the obstacles to implementing RMP among construction SMEs
in SA. Findings indicated thatunsupportive organisation culture, lack of qualified personnel,
inadequate training were deemed to be the major obstacles to the implementation of RMP at
project level of SMEs. In order to raise the awareness of implementing RM benefits, there is a
need for a ‘cultural shift’ in the mindset of senior management and relevant stakeholders within
the SACI. In addition, the organisations should also be encouraged to engage or utilise internal
auditors through the application of enterprise risk management (ERM) as part of the IRMP. To
assist contractors with the training issues associated with RMI, the government could further
focus on the development of vocational training and apprenticeships for its citizenry and
relevant professionals. This would act as a source of skills for the majority of the SA
employees. Findings of this study further reinforce the observation that, despite the quest of
112
the SACI to remain competitive, it is faced with a number of challenges. These challenges
undoubtedly have an impact of implementation of practices such as RM. This paper further
sheds light and provides insights on the understanding of the obstacles hindering the
implementation of RMP within the SACI, an area previously under-researched. Furthermore,
this study makes a contribution to the body of knowledge on the subject within a previously
unexplored context.
Regardless of the achievement of the study objectives, there were boundaries to the
conclusions. The study was conducted in South Africa; however, it was delimited to the
province of Gauteng. The surveyed respondents were small and medium enterprises in the CI;
hence, the findings of this study may not be representative of the entire country.
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DII-2017-057
Investigating the Impact of Risk Factors on Project

outcome of Small and Medium Contractors in South
Africa
Berenger Y. Renault1, Justus N. Agumba2, Nazeem Ansary3
Abstract
The delivery of construction project is often affected by several risks factors which can threaten the
achievement of project outcome in terms of time, cost, quality and health and safety (H&S).
Regrettably, there is a paucity of empirical studies investigating the impact of these risks on project
outcome in the South African construction industry (SACI), especially in the small and medium
enterprises (SMEs) sector. Hence, the current study sought to investigate the impact of these risk factors
on project outcome of SMEs in the Gauteng province of South Africa. A structured questionnaire
consisting of nineteen risk factors was used to collect data from SMEs who were conveniently sampled.
The data was analysed using the Statistical Package for the Social Sciences (SPSS) version 23,
computing descriptive statistics. Empirical findings revealed that time and cost were both impacted by
variation by the client, design variation, incomplete approval and unsuitable construction program
planning while incomplete or inaccurate cost estimates impacted highly on cost and quality objectives.
Furthermore, accidents due to poor safety procedure, the absence of fire safety systems on site,
equipment damage and labour injuries were deemed to have a high impact on project H&S outcome.
The results of the study will boost the knowledge of industry practitioners on the risk factors affecting
project outcome of SMEs.
Keywords: construction, Gauteng, project success, risks, small and medium contractors South Africa12
1. Introduction
Despite growing uncertainty and seasonal swings, the SACI moves forwards. According to StatsSA
(2016), the total employment in SA has risen from 14,2 million to 15,9 million between the period 2009
to 2015 and the CI is one of the eight industries that has contributed to this increase by creating 216 000
jobs over this period. Currently, the SACI contributes to around 9.7% of the country Gross Domestic
Product (GDP) and accounts for 11% of total employment (Construction Industry Development Board
(CIDB), 2016). Regardless of the social and economic value of the CI, cost and time overruns continue
to occur especially at project level of SMEs (Chadhliwa, 2015). Research indicates that there have been
a number of mega projects that have failed to meet baseline completion dates, costs and quality
requirements in SA; for example, the Gautrain project which was only delivered two years following
1Postgraduate;Department of Construction Management and Quantity Surveying; University of Johannesburg; PO Box 17011,
Doornfontein Johannesburg, South Africa; [email protected].
2Senior Lecturer; Department of Construction Management and Quantity Surveying; Durban University of Technology; Steve
Biko Campus, Durban, South Africa; [email protected]

3HOD; Department of Construction Management and Quantity Surveying; University of Johannesburg; PO Box 17011,
Doornfontein Johannesburg, South Africa; [email protected]
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its initial completion date and cost R14 billion over budget (SA Politics, 2013). A further example is an
R2.5 billion contract for a multi-product pipeline between Durban and Gauteng for Transnet was
estimated to cost R23.4 billion and the completion date was almost 3 years late (Guern Le, 2013).
Shunmugam and Rwelamila (2014) have stressed that in order to achieve the desired project outcome,
organisations have to implement and practice risk management (RM). Many studies have been
conducted to understand why small contractors keep failing despite the support being provided. Studies
conducted, revealed that many SMEs fail due to the lack of access to finance (Boone and Kurtz, 2006;
Ramlee and Bernma, 2013; Brown and Lee, 2015). However, the results of the study conducted by
Rostami et al. (2015) revealed that 80% of SMEs failures are as a result of management failure. It was
further indicated, that there is a necessity to enhance corporate governance and the link to RM. Smit
(2012) confirmed that the risk of not delivering the project within its set target in SMEs was higher than
in larger enterprises. Furthermore, Rostami et al. (2015) indicated that SMEs tend to experience more
uncertainties than larger enterprises. Chihuri and Pretorious (2010) indicated that lack of RM
knowledge and lack of knowledge of the risk factors which can impact the successful achievement of
project outcome is one of the reasons of cost and time overruns in the construction project of SMEs.
A review of literature indicates that most of the studies conducted on risk factors in South Africa,
identified holistically and categorised risk according to their nature (Wadiwalla, 2004; Chihuri and
Pretorius, 2011; Mpakama, 2016; Renault et al. 2016) and that limited studies have been conducted to
investigate project outcome (time, cost, quality and health and safety) related risk factors and their
impact on project outcome. Therefore, the current study sought to fill this gap by identifying project
outcome related risk factors and investigating their impact on each project outcome. The results of the
study will boost the knowledge of industry practitioners on the risk factors affecting project outcome
of SMEs but also they will provide information on specific risk factors that impact project outcome. In
addition, other construction firms can use the risk factors identified in this study to prepare their
customized list of project outcome related risk factors.
2. Review of Literature
Literature review is one of the key features of carrying out a study and also as a way to be aware of
what has already been covered on the topic in order to establish the trends in the solutions that are being
proceeded to resolve the various problems that face mankind (Heppner and Heppner (2004). Hence, it
was compulsory to review literature related to Risk and RM in construction in order to establish project
outcome related risk factors.
2.1 Project outcome
Over the years, numerous studies have been conducted on project outcome, and most of them have
suggested various dimensions for measuring project outcome. Wang and Huang (2006) opined that
project outcome is contrastingly viewed among researchers and practitioners. The conventional
measures of time, cost, and quality known as the Iron triangle have been the leading success metrics in
construction (Toor and Ogunlana, 2010). The Iron triangle is cited in nearly every study (Na Ranong
and Phuenngam, 2009; Hinze et al. 2013; Chou and Pham, 2013) on project success. Contrariwise,
Collins and Baccarini (2004) posited that project outcome should not be limited to just the Iron triangle
and the project management community need to be informed about this. Toor and Ogunlana (2010)
indicated that while other definitions of project outcome have emerged, the iron triangle is constantly
cited in the unconventional definitions. In addition to the conventional measures, Ojiako et al. (2008)
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supported that dimensions for project outcome should also encompass project psychosocial outcomes
which involve the contentment of interpersonal relations with the project team. Individual dimensions
such as participants’ satisfaction level are referred to as soft dimensions. The incorporation of
satisfaction as a success metric is recommended by Weninger et al. (2013). Berssaneti and Carvalho
(2015) further suggested incorporating the absence of legal claims as a measure of project success. This
indicates the importance of including safety as a success measure since it is logical to anticipate that if
accidents materialise, both clients and contractors may be subject to financial loss, contract delay as
well as legal claims. Ahadzie et al. (2010) assessed project outcome extensively based on five criteria
namely; maintenance cost, construction cost, time, safety and flexibility to users. Lam et al. (2008)
stated that it is problematic to evaluate whether the performance of a project is a success or a failure
owing to the fact that the notion of success remains unclear amongst project participants. According to
Roelen and Klompstra (2012), the project is a complete success if it attains the technical performance
specifications to be executed, and if there is satisfaction regarding the project outcome among key users
and project team members. In evaluating project outcome or project success, Chou and Pham (2013)
included a range of criteria which included project meeting planned cost, time, quality of work,
affability of the environment, transfer of technology, client and project manager’s satisfaction, and
health and safety. Chou and Yang (2012) defined project outcome based on four measures namely;
achieving design goals, the value to the end user, the value to the organisation, the value of the
technological infrastructure of the country and of organisations implicated in the development process.
All these measures combined provide the inclusive evaluation of project outcome.
2.2 Project outcome related risk factors
Various studies have been conducted in the area of RM for construction projects, a notable outcome of
which is the identification of many risks that may impact the project outcome. Chen et al.(2004)
identified fifteen risks associated with project cost and grouped them into resource, parent and
management groups. Furthermore, they found that price escalation of material was associated with the
resource group; inaccurate cost budget and supplier or subcontractors’ default pertained to management
group, and excessive interface on project management was associated with the parent factors. Tam et
al.(2004) established that the leading factors impacting safety performance included lack of training,
poor safety awareness of top management, poor safety awareness of project managers, reckless
operation and reluctance to input resources to safety.
Klemetti (2006) stated that construction risks can be classified based not only on their impact on the
project objectives but also the source of the risk, while Karimi et al. (2010) indicated that risks are
mainly grouped into two groups according to their source namely, internal and external. Oztas and
Okmen (2004) included management of project risk into the design risks which comprised but were not
limited to “difficulty in capturing and specifying the user requirements”, “difficulty of estimating the
time and resources required to complete the design”, “difficulty of measuring progress during the
development of the design”. In assessing the significance of risks in construction projects in Gaza, Abu
Mousa (2005) identified forty-four risk factors which were further divided into nine (9) groups of
physical, design, logistics, environmental, financial, political, legal, construction and management.
Similarly, Kishan et al. (2014) identified forty-four risk factors for building construction which was
further categorised in ten groups of physical, logistics, design, environmental, legal, financial,
management, cultural, construction and political. Of the identified factors, design changes, poor
communication and delayed payment on contracts were found as the major causes of project delay. In
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Addition, Abu Mousa (2005); Ahmed et al. (1999); National Audit office (2001); Okeyo et al. (2015)
found that delayed payment of the contractor affected the project by causing loss of productivity,
inefficiency, and increase in time-related costs. Regardless of these various classifications, risks are
meant to attain a common objective, that is, they are an important aid in RM and assist in forming risk
lists that are used when detecting a risk (Wong and Hui 2006; Klemetti, 2006).
Based on the reviewed literature and the opinion of practitioners and experts in the field of construction
and RM, several risk factors that affect project outcome were identified and studied. For the purpose of
this research, risks were categorised based on their impacts on project outcome in terms of time, cost,
quality as well as health and safety. The detail of each category of project outcome related risk factors
is outlined in Table 1.
Table 1: Project outcome related risks (adapted from Zou et al. 2005; Olamiwale, 2014)
Risk Type Description
Design variations, high performance, variations by the client, incomplete approval, and other
documents, unsuitable construction program planning, bureaucracy of government,
Time-related risks
inadequate program scheduling, pressure from high performance or quality expectations and
variation of construction programs.
Variations by the client, occurrence of dispute, unsuitable construction program planning,
Cost related risks price inflation of construction materials, incomplete or inaccurate cost estimates, incomplete
approval, inadequate program scheduling, and design variations.
Unsuitable construction program planning, inadequate program scheduling, incomplete or
inaccurate cost estimates , pressure from high performance or quality expectations, low
Quality related risks management competency of subcontractors, variations of construction programs, design
variations, lack of coordination between project participants, unavailability of sufficient
amount of skilled labour
Accidents due to poor safety procedures, labour injuries, equipment damage, materials or
H&S related risks
property damage, absence of fire safety systems on site.
This section reports on the methodology used to conduct this study. The target population, method to
collect data and the sample used are described. The tool used to analyse data as well as issues pertaining
to validity and internal consistency of the measurement instrument were also described.
3.1 Population and data collection
An extensive review of literature was conducted in conference proceedings, journal articles and relevant
risk management books. A list of 18 obstacles was identified which were included in the structured
questionnaire which was later pre-tested among construction SMEs drawn from the CIDB register of
contractors. The respondents rated the risk factors on a five- point Likert scale where: 1=Very low
impact (VLI), 2=Low impact (LI); 3=Moderate impact (MI); 4=high impact (HI) and 5=very high
impact (VHI). In order to present the outcomes appropriately, a number of range were established, that
is; VLI=1.00-1.80, LI=1.81-2.60, MI=2.61-3.40, HI=3.41-4.20, VHI=4.21-5.00.
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3.2 Sample and sampling method
Following the questionnaire pre-testing, the final refined version of the questionnaire was distributed to
225 conveniently sampled SMEs using personal hand delivery and collect method. Of the 225
questionnaires distributed, 187 were returned of which 6 were excluded from the study due to various
ambiguities (questionnaire incorrectly answered, respondents’ information missing and inadequate
information provided). Consequently, the remaining 181 questionnaires were deemed usable
representing approximately 80% response rate.
3.3 Data analysis
SPSS version 23 was employed to analyse the data generated by the research questions. The following
statistical methods were used: frequency analysis, percentage, means score, and standard deviation.
Frequency and percentages were employed to analyse the socio-demographic characteristics of the
respondent and the information about the company. Mean and standard deviation values were used to
respond to the research questions on the risk factors impacting project outcome. Review of the literature
indicates that such approaches have been adopted previously in survey related studies (Visser and
Joubert, 2008; Rostami et al., 2015).
The measurement instrument was also tested for validity and internal consistency. Validity was ensured
as a result of conducting an extensive literature review by consulting previous related studies, this was
requisite to specify the variables. The questionnaire was reviewed and revised by experts (academics,
researcher’s promoter, and a professional statistician) before the pilot study took place. Internal
consistency was tested using Cronbach’s Alpha. A generally agreed upon minimum limit for Cronbach
alpha is 0.70 (Hair et al. 2006). However, a cut-off value of 0.60 is common for exploratory research
and values closer to 1 suggest good reliability (Zaiontz, 2014).
4. Findings and Discussion
This section presents and discusses the findings obtained from the questionnaire survey. Demographic
and findings on project risk impact are discussed.
4.1 Demographic findings
This sub-section reports on the profile of the respondents and the company. Results revealed that among
the respondents, 81.80% was male while 18.20% was female, 87.56% were either owners or manager
of their enterprise, 56.40% were African/Black, had either matriculation (22.70%) or a certificate
(20.40%), 43.10% of respondents had 10 years’ or less experience in construction. Furthermore, it was
found that 37.60% of SMEs were subcontractors or general contractors (31.50%), working mostly in
Johannesburg (41.40%) and Tshwane (30.90%) Metropolitan Municipalities. Nevertheless, the
subcontractors either operated for the main contractor or were sole trade contractors.
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4.2 Findings on risk factors’ impact on project outcome
Table 2 presents the impact of risk factors on project outcomes i.e. time, cost, quality and H&S as rated
by respondents. A total of nineteen risk factors were identified, among which, eight were related to
time, eight were related to cost and nine were related to quality outcome. Five risk factors were related
to H&S outcome. These risk factors were tested for validity and internal consistency. The overall
Cronbach’s alpha of each risk category (time, cost, quality, and H&S), as well as the Cronbach's alpha
values (see Table 2) of the individual risk factor, were all above the cut-off value of 0.60. These results
indicated the good reliability of the variables. The results are discussed in terms of the impact of risk
on each project outcome.
It was revealed that of the eight-time related risk factors, variation by the client (M=3.83; SD=0.406),
design variations (M=3.72; SD=0.463) and incomplete approval (M=3.67; SD=1.028) were rated by
the respondents to have high impact in inhibiting the SMEs in achieving the project time.
It was further indicated that under cost related risk factors’ category, design variations (M=3.98;
SD=0.788), and variations by the client (M=3.97; SD=0.690) had high impact in slowing down the
SMEs to achieve their project cost. Furthermore, dispute occurrence (M=3.23; SD=1.076),
incomplete/inaccurate cost estimates (M=3.20; SD=1.259), inadequate programme scheduling
(M=3.04; SD=1.272) and unsuitable construction programme planning (M=3.03; SD=0.922) were
deemed to have a moderate impact in achieving the project outcome of cost.
Likewise, lack of coordination between project participants (M=3.42; SD=1.136), had a high impact in
the SMEs not achieving the quality of the project, whereas low management competency of
subcontractors (M=3.38; SD=1.001), design variations (M=3.37; SD=0.844), incomplete/inaccurate
cost estimates (M=3.29; SD=1.232), inadequate programme scheduling (M=3.10; SD=0.937) and
unavailability of sufficient amount of skilled labour (M=2.94; SD=1.001) were deemed to have a
moderate impact in hindering the SMEs from achieving the quality of their project.
Results of the H&S related risk factors evinced that accidents due to poor safety procedures (M=3.56;
SD=1.226) were rated by respondents to have high impact in achieving the project H&S outcome.
Moreover, the absence of fire safety systems on site (M=3.29; SD=1.272), equipment damage (M=3.27;
SD=1.172), labour injuries (M=3.17; SD=0.853) and property and material damage (M=3.04;
SD=0.942) were deemed to have a moderate impact in inhibiting the SMEs in achieving the H&S
project outcome.
4.3 Discussions on risk factors’ impact on project outcome
4.3.1 Time-related risk factors
The results indicated that variation by the client, design variations, and incomplete approval had a high
impact on project time not being achieved. These results are in accord with the results of Zou et al.
(2005); Wang and Huang (2006), who observed that variations by the client can engender variations in
the planning, design, and construction. Wang and Huang (2006) further added that variations probably
emanate because of three reasons namely; change of mind by the clients and misconception of the
clients’ needs. This situation, for example, can be avoided if the client does not interfere with the process
of the project.
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Table 2: Risk factors’ impact on project outcome
Cronbach’s
Risk category Mean SD Rank
alpha
Time related risks 0.856
Variations by the client 3.83 0.406 0.864 1
Design variations 3.72 0.463 0.883 2
Incomplete approval 3.67 1.028 0.825 3
Inadequate program scheduling 3.29 1.348 0.820 4
Unsuitable construction program planning 3.07 0.987 0.815 5
Variation of construction programs 3.02 1.174 0.828 6
Pressure from high performance or quality expectations 2.88 1.097 0.827 7
Bureaucracy of government 2.63 0.913 0.822 8
Cost related risks 0.912
Variations by the client 3.97 0.690 0.916 2
Occurrence of dispute 3.23 1.076 0.891 3
Incomplete or inaccurate cost estimates 3.20 1.259 0.898 4
Incomplete approval 3.02 1.186 0.887 7
Price inflation of construction materials 2.96 1.082 0.904 8
Quality related risks 0.862
Lack of coordination between project participants 3.42 1.136 0.833 1
Low management competency of subcontractors 3.38 1.001 0.877 2
Incomplete or inaccurate cost estimates 3.29 1.232 0.845 4
Unavailability of sufficient amount of skilled labour 2.94 1.001 0.835 6
Pressure from high performance or quality expectations 2.90 0.975 0.838 7
Variation of construction programs 2.86 0.922 0.835 8
Health and Safety related risks 0.909
Accidents due to poor safety procedures 3.56 1.226 0.892 1
Absence of fire safety systems on site 3.29 1.272 0.883 2
Equipment damage 3.27 1.172 0.881 3
Labour injuries 3.17 0.853 0.902 4
Property and materials damage 3.04 0.942 0.884 5
Values in bold representthe overall Cronbach’s alpha of each risk category.
Furthermore, inadequate program scheduling was deemed to have a high impact on project time not
being achieved. This result corresponds with the findings Zou et al. (2005) who concluded that
inadequate program scheduling had a high impact on project time objective. They further indicated that
program scheduling frequently appears in projects with a tight schedule when some programs need to
be reduced to achieve the project timeline. However, the high impact of pressure from high performance
and bureaucracy of government were contrary to the finding of Zou et al. (2005) where high
performance was identified as a risk with a major impact on project time outcome.
4.3.2 Cost related risk factors
Design variation, variations by the clients, the occurrence of dispute and incomplete or inaccurate cost
estimates were deemed to have a highimpact on project cost not being achieved. These results suggested
that design variation usually arises in the design phase of a project and may derive from matters such
as variations by the client and faulty design. These results concur with the results of the study conducted
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by Probhakar (2008) where design variations and variations by the client were both considered as the
major cause of construction project cost overruns. The high impact of occurrence of dispute indicates
the concern of communication between project participants. The occurrence of the dispute is frequent
in construction, due to inconsistency and changes in the design and construction (Probhakar, 2008).
Contractors should constantly communicate with the project team and initiate negotiations with the
project manager (particularly the representative of clients) about prospective variations in the
documentation and record the resulted delay of progress in construction log. This finding agrees with
the finding of Enshassi et al. (2008) where the occurrence of legal disputes between project participants
during the life of a project was identified as a major cause of project delay. Incomplete or inaccurate
cost estimates seems to be directly correlated with the designers/consultants’ knowledge and attitude
towards work.
Many unpredicted factors comprise construction activities, which often deviates the estimated cost from
the real cost. Hence, choosing skilled and qualified designers and involving the contractor or
subcontractor early can help minimize the incorrectness. These results concur with those reported by
de Bakker et al. (2011) where inaccurate material estimates were identified as the major causes of
construction project cost and schedule overruns. The other cost-related risks were considered by the
contractor to have a moderate impact on project cost outcome.
4.3.3 Quality related risk factors
Lack of coordination between project participants was deemed to have a high impact on project quality
not being achieved. This result indicated that lack of coordination between project participants may lead
to chaos in the management of construction team and programs. A general contractor or project manager
who is skillful in the team and program coordination should be engaged. On the other hand,
strengthening the participant’s perception of cooperation and communication is also of importance for
improving construction quality and efficiency. This finding was in line with the empirical findings of
Enshassi et al. (2008) who established that lack or poor communication between parties had a high
impact on the quality of the end product. This result raises the importance of management topics for
contractors and the existence of the type of risk, which need high-level management skills.
Furthermore, low management competency of subcontractors had a high impact on project quality not
being achieved. This is probably the only recognised key risk related to subcontractors. Unlike a general
contractor who constantly manages a construction site for a long period, subcontractors normally
allocate their manpower and other resources to different projects in order to achieve a maximum profit
of their own business. Without competent management skills, subcontractors cannot successfully
manage their resources to meet the needs from several concurrent construction sites. Accordingly, in
addition to specialist abilities, the management competency should be considered as one of the key
criteria for appointing subcontractors. These results were in general agreement with the study of Abu
Mousa (2005) who also identified low management competency as one of the causes of construction
project delay. The rest of factors namely: pressure from high performance or quality expectations;
unavailability of enough skilled labour, variation of construction programs and unsuitable construction
program planning were considered as risk with a moderate impact on project quality outcome. However,
these results were contrary to the empirical results of Kishan et al. (2014); Mahendra et al. (2013) that
identified these factors as factors with high impact on project quality outcome.
123
4.3.4 Health and safety related risk factors
The H&S success was negatively impacted by poor safety procedure, the absence of fire safety systems
on site, equipment damage and labour injuries. This result is accordance of those of Ahmed et al. (1999);
the National Audit Office (2001), which established the risks of defective materials and safety measures
as very important risks. However, they are contrary to the findings ofPhoya (2012); Oztas and Okmen
(2004) which identified accidents are caused by poor safety measures, labour injuries, and damage to
materials and equipment as risks with a moderate impact on H&S objectives. However, in order to
overcome some of these risk factors that exacerbated poor H&S performance among construction
SMEs, Agumba (2013) found that upper management commitment and involvement in H&S, H&S
resources and training and project performance supervision improved the H&S performance.
5. Conclusion
The study sought to investigate the impact of risk factors on project outcome of SMEs in the Gauteng
province of South Africa. Nineteen risk factors were identified and categorised into time, cost, quality,
and H&S related risk factors. Empirical findings established that variations by the client, design
variations, incomplete approval and inadequate program scheduling were deemed to have a high impact
on project time outcome. It was further revealed that design variations had a high impact on project cost
outcome followed by variations by the client, occurrence of dispute and incomplete or inaccurate cost
estimates. Furthermore, project quality outcome was highly impacted by the lack of coordination
between project participants, low management competency of subcontractors, design variations, and
incomplete or inaccurate cost estimates. In addition, accidents due to poor safety procedure, the absence
of fire safety systems on site, equipment damage and labour injuries were deemed to have a high impact
on project health and safety outcome. Further exploration of the empirical findings revealed that
variation by the client, design variation, incomplete approval, and unsuitable construction program
planning can negatively impact both project time and cost outcomes. Similarly, inadequate program
scheduling impacted simultaneously the three project outcomes namely; time, cost and quality
objectives, while incomplete or inaccurate cost estimates impacted highly on cost and quality
objectives. To reduce chances of project failure, the risk factors as revealed in this study should be
properly handled in managing the risks. This paper further sheds light and provides insights on the
understanding of the risk factors impacting construction project, an area previously under-researched.
Furthermore, this study makes a contribution to the body of knowledge on the subject within a
previously unexplored context. Regardless of the achievement of the study objectives, there were
boundaries to the conclusions. The study was conducted in South Africa; however, it was delimited to
the province of Gauteng. The surveyed respondents were SMEs in the CI; hence, the findings of this
study may not be representative of the entire country
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ICT and Innovation in Infrastructure
development
129
DII 2017-018
Exploring the Efficacy of Innovative Urban Public

Transport Infrastructural Systems on Economic
Transformation: Case of Gautrain and Are Yeng in the
City of Tshwane
Bongumusa Ndwandwe1, Trynos Gumbo 2
Abstract
There is generally interconnectedness among the complex urban challenges that are being experienced
in most developing countries. Of particular note are the spatial fragmentation and inefficient and
ineffective transport systems that characterize South African cities. In response, innovative urban public
transport systems that seek to improve mobility and encourage mixed land use development have
emerged. The innovations also seek to resolve the three apartheid vices that are unemployment, poverty
and inequality thus enhancing economic growth and development within South African cities. This
paper therefore examined the role of innovations in urban public transport systems to the creation and
improvement of business operations and employment opportunities within the City of Tshwane. Both
qualitative and quantitative research approaches were adopted and applied to gather from key
informants and users of the transport services using interviews and questionnaires. Study findings
revealed that the innovations have resulted in some commendable developments within the city of
Tshwane however, the poor and previously disadvantaged citizens are yet to benefit meaningfully. The
economic transformation agenda still needs to deliberately facilitate the inclusion of the poor in line
with the massive transport infrastructure investments that have been made. Accordingly, the study
recommends an integrated approach to economic transformation and innovative urban transport system.
Human capacity development anchored through investment in education, skills development and human
rehabilitation for self-help projects and Small, Medium and Micro Enterprises (SMME’s) is highly
recommended. Major investment opportunities should prioritize the urban poor instead of mainly
improving the lives of that are already part of the formal economy. As a result, the study concludes by
developing a model on Integrated Approach to innovative urban transport planning and economic
transformation.
Keywords: economic transformation, Gautrain, sustainable development, transport infrastructure 13
1HOD and Senior Lecturer; Department of Town and Regional Planning; University of Johannesburg; 6th Floor, John Orr
Building, Doornfontein, 2094; [email protected].
2MTech Student; Department of Quality and Operations Management; University of Johannesburg; 6th Floor, John Orr
Building, Doornfontein, 2094; [email protected].
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1. Introduction
Urban public transport innovations have emerged as an important component of economic growth and
development (Rode and Floater, 2014). This has been evident through the global focus on sustainable
transport planning systems. Consequently, concepts such as smart and compact cities have come to the
fore with the aim of ensuring efficient, effective public transport systems (Wilkinson, 2006).
Subsequent to these developments, massive infrastructure investments that have strong focus on
transport infrastructure for connectivity, accessibility and affordability for the purposes of trade
facilitation across developed, transitional and developing countries have been witnessed (Jouanjean,
Gachassin and te Velde, 2015).
Development planning challenges that are encountered each day are interrelated. If not planned for
accordingly, spatial fragmentation and lack of integration becomes the order of the day which ultimately
hinders economic transformation. This is more so in previously disadvantaged communities that should
be planned and developed to enhance transformation, economically and spatially. In response to this,
sustainable transport planning focusing on innovative urban public transport systems, integration and
smart mobility has emerged as the focal point of discussion worldwide (Moody, 2012). Emerging from
such discussions is the call for innovative urban transport systems which encourage mixed-use
development to respond to challenges of inequality, poverty and unemployment. Notable, integrated
transport planning forms an integral part of development planning and economic transformation at
global level (Byiers, and Vanheukelom, 2014).
The common trend has been the emphasis on the functionality of the linkages between major economic
nodes which also saw the rise of corridor development and multi-modal transport planning initiatives
(Marrian, 2001). At international level, countries such as England, Austria, China and Brazil have made
commendable progress in implementing innovative urban public transport while addressing socio-
economic challenges faced by their citizens/residents (Babinard, 2012; Jones, Turner and Heydecker,
2014). In contrast, Pardo, Jiemian, Hongyuan and Mohanty (2010) observe that there is a common trend
in the developing countries where urban public transport systems are not as efficient compared to the
developed world. They further argue that this has negatively affected Growth Domestic Product (GDP)
in developing countries.
In light of the above, innovative urban public transport systems are geared towards achieving the
principles of efficiency, liveability, safety, reliability, viability, convenience, accessibility and cost
effective transport options (Toth-Szabo and Varhelyi, 2012).The stated principles are used as indicators
to monitor sustainability of transport planning and development. Given the diverse nature of role players
in transport planning and development, all integrated transport planning initiatives should be
accompanied by deliberate planning initiatives and policy instruments to build integrated and
sustainable transport network systems that yield positive economic spinoffs.
2. Innovative Urban Public Transport Systems Role in Integrated

Development Planning
Innovative urban transport systems can be defined as practices that are new and provide better solutions
to existing challenges and traditional measures in urban transport planning and mobility (Polis, 2015).
Most common examples of these innovative transport systems include technologically advanced trains,
Bus Rapid Transit (BRT) systems, etc. Through an efficient innovative urban public transport system
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where access to goods and services as well as people is well facilitated, there are prospects for better
economic benefits through economies of scale and integrations effects. Cities with well-coordinated
integrated transport systems are most likely to have an improved Gross Domestic Product (GDP)
accompanied by higher levels of productivity (Rode and Floater, 2014).
Subsequently, transport planning has been identified as an integral part of economic transformation and
improved access to economic opportunities (Pojani, and Stead, 2015). Thus this has encouraged
development of innovative strategies or approaches to mobility and transport planning in general
(Transport Research and Innovation Portal, 2013). Given the sustainable development agenda and the
need for creation of efficient transport systems, integration has formed the core of urban public transport
systems (Albalate and Bel, 2009; Preston, 2012). These include taking into account the socio-economic
needs of the people served by the network as well as careful consideration of environmental constraints.
International experiences reveal that innovative urban transport systems like the BRT systems have led
to improved access to economic opportunities by the urban poor in cities like Bogotá (Colombia), Rio
de Janerio (Brazil) as well as the Chinese towns of Guangzhou and Lanzhou (Babinard, 2012; Bocarejo
and Tafur, 2013). The common trend amongst these cities is integration and creation of cost-effective
and efficient urban public transport systems given local context focusing on addressing socio-economic
challenges. Where there is an efficient, effective public transport system, economic growth and
development is enhanced (Pardo et al., 2010).
It is now evident that innovative urban public transport systems have since became one of the major
investment pillars for most governments’ institutions both at local and international level. The major
investments associated with these innovations are understood as key drivers of economic growth and
development. The separation of service providers combined with segmented travel market necessitates
for integration and interchanges in urban public transport system. Lack of integration and cooperation
amongst service providers constitute increased travel times and costs as they use different billing
systems and service patterns, some with distinct technological tools which complicate things for the
commuters (Guo, 2008).
As such, innovative urban public transport systems are geared towards creating sustainable, efficient
and cost-effective urban public transport systems (Hrelja, Hansson, Richardson, Svensson,
Lissandrello, Næss, Tennøy, and Longva, 2013). This is observed while there is a strong emphasis on
the role of urban transport system as a critical tool to integrate all sectors of the economy and society
while contributing to economic transformation (Pojani, and Stead, 2015). This can be achieved through
an integrated approach where all relevant stakeholders play their role and contribute positively towards
economic growth and development where a functional, efficient public transport system is created to
strengthen the competitiveness and the growth of business in a city or region (Rosenberg and Weiste,
2007). The need for innovative approaches to transport planning has been recognised and more focused
attention must be given to the improvement of the transport systems to ensure sustainable, integrated
growth and development.
In an attempt to define transport integration one cannot neglect social, economic and environmental
considerations (Potter, Stephen and Skinner, Martin, 2000). In the same vein, Louw (2003) argues that
integrated planning looks beyond the dynamics of a well-coordinated transport system. This implies
that if a transport system is well coordinated it can still be disintegrated if it neglects the social,
economic and environmental considerations. Preston (2012) define transport integration as “the
132
organisational process through which the planning and delivery of elements of the transport system are
brought together, across modes, sectors, operators and institutions, with the aim of increasing net social
benefits”. This is also in line with Louw’s definition which looks at integrated transport planning as an
integrated approach that focuses on finding the right balances of all sectors and aspects of transport
planning through identification of desired outcomes and common goals to promote economic growth.
3. International Experiences
There is a global shift from an old paradigm perspective on public transport which was based on
physical travel (mobility) to more comprehensive innovative urban public transport systems that takes
into account the socio-economic as well as environmental impact of urban public transport systems
(Litman, 2014). It has been evident that where there is a healthy working relationship between the state
as the regulatory and enabling authority, the public transport operators and the general public, a
comprehensive innovative urban public transport network is possible (UNDESA, 2012).
Congestion during peak hours associated with rapid public transport in major cities globally has been a
common trend in developed, transitional and developing countries (Gwee and Currie, 2013). Despite
the complexities and challenges associated with urban public transport planning, it is important to
priorities mass passenger transport options for the public. Regulatory frameworks and approaches to
transport planning and delegation of powers differ from country to country. This is dependent on
administrative structures, distribution of resources and capacity to provide a public transport system in
line with peoples’ socio-economic needs.
3.1 Developed countries
The developed world is at an advanced stage with their transport planning systems and operations
providing more efficient and accessible transportation options and networks (Gould, and Schmalbruch,
2015). However, there are still challenges and issues that still needs to be planned for and attended to
though innovative urban public transport systems are fully functional in major and most populated
cities. For the purposes of this study, lessons were drawn from London (United Kingdom) as well as
City of Linz (Austria) to inform some of the urban public transport planning strategies in the Global
South given the South African context.
From the lessons learned, it is clear that planning and implementation of urban public transport systems
in the developed world is already incorporating economic growth, improved business operations and
employment creation as trickle down effects from transport infrastructure investments. The sampled
cities of Linz and London represent comprehensive, fully functional and well planned innovative urban
public transport systems. This is more so in the City of Linz where the railway station was transformed
to a place of economic opportunities and social interaction promoting improved business operation and
social cohesion (Klementschitz and Stark, 2009). On the other hand, the London innovative urban
public systems may have few standards to adhere to before being completely sustainable, though it is
also economically viable, efficient and accessible by all members of the public (Banisterand Finch,
2013).
The integration of different modes of urban public transport is also a predominant feature of innovative
urban public transport systems in the developed world. The integration of rail transport to bus services
and the availability of cycling options at the connector points has proven to be comprehensive and
133
providing an efficient service for the commuters. Even those who are not working in close proximity to
the main stations can still use the cycling option from the main stations to their respective work places
while there are also safe pedestrian routes for those working and living in close proximity to the main
stations or connector points.
3.2 Transitional countries
The Transitional Countries refer to those countries that can be regarded to be between the developed
world the developing world as they contain characteristics of both. Although they have the
infrastructure and economic productivity that can compare to that of developed countries, they still face
some setbacks in terms of certain challenges facing the developing world. These countries can be
considered as developmental states or emerging markets. BRICS (Brazil, Russia, India, China, South
Africa) countries (which South Africa is part of) forms part of the transitional market countries. For the
purposes of this study, China (Cities of Guangzhou and Lanzhou) and Brazil (Rio de Janeiro) were
looked at from the Transitional Countries and key lessons were learned.
The transitional countries are characterised by rapid population growth and a demand for a fully
functional, comprehensive urban public transport system that is accessible and affordable by all,
including the urban poor. The progress made by China and Brazil brings hope to the rest of the
transitional countries though there is still room for improvement in China and Brazil as well. The
substantial progress can be a lesson on what are the critical aspects to attend to in order to attain a fully
functional, comprehensive innovative urban public transport system against the challenges of rapid
population growth, poverty and unemployment in transitional market countries.
The critical aspects observed in the cases of China and Brazil suggest that the State is a key role player
in regulating all forms or modes of urban public transport while creating an enabling environment that
encourages all relevant stakeholders to collaboratively work together. The integrated billing system and
easy access to economic opportunities, heath facilities, social facilities and education facilities
facilitated through integrated transport system also proved the be critical and essential given the for the
transitional markets countries given the case of Rio de Janeiro, Brazil.
3.3 Developing countries
Developing countries are often associated with high level of socio-economic challenges and inadequate
public transport systems to cater for the needs of the people, especially the poor (Gebeyehu and Takano,
2007). For the purposes of this study, lessons were drawn from the urban public transport system in
Ethiopia (Addis Ababa) and Kenya (Nairobi). The urban public transport system can be seen as one of
the essential transformation tools in these countries.
The common challenges facing the developing countries are the minimal State involvement in the urban
public transport systems operations. Thus, common challenges faced by the developing countries are
embedded on poor coordination of urban public transport systems, traffic congestion, increase non-
regulated privately owned public systems or taxi industry, lack pedestrian friendly transport systems
resulting in conflicting sharing of public roads between motorists and pedestrians and congestion with
minimal parking space in support of urban uses (Marrian, 2001). The state of urban public transport
system in the developing countries is such that there is high demand for urban public transport with
134
limited supply resulting in uncoordinated informal public transport network that share the roads with a
high volume of pedestrians raising safety concerns (Demdime, 2012).
The state of urban public transport systems in the developing world appears to be far from being ideal
and a lot of work still needs to be done to cater for the needs of the people. It is evident that a form of
urban public transport is existing in the developing countries and that the desire to improve the state of
affairs in urban public transport is there. However, it remains to be seen whether the comprehensive
visions for urban public transport can be translated into meaningful progress. There is no proper
coordination and management of different modes of transport and challenges of limited access and
unaffordability persist and co-exist in the developing world.
4. South African Urban Public Transport System
The South African public transport system is renowned for its distinct formal and informal public
operators (Ahmed, 2004). The formal public transport system constitutes the government subsidised
public transport systems in form buses and trains while the informal public transport network is
predominantly the taxi industry which is recognised by government but is not a government subsidised
operation (Venter, 2013). Government has little say on the taxi industry which is said to be responsible
for at least 65% of the public transport commuters in South Africa (Ahmed, 2004).
Since 1994, the South African government has embarked on the journey of transforming the country’s
public transport network and operations through legislative and other initiatives (van Ryneveld, 2008).
Central to this has been the formalization and transformation of the taxi industry with minimal progress
which has later been followed by the introduction of the innovative urban public transport systems
(Venter, 2013).
The taxi industry has play a critical role in the country’s public transport arena especially where the
formal public transport operations like buses and trains cannot cater for the needs of the previously
disadvantaged (Ahmed, 2004). However, there are also many inadequacies with the taxi industry
operations often associated with violence hence the need to create a safer and convenient public
transport system through integrated, innovative urban public transport network and system (Venter,
2013). Since 2005, Innovative Urban Public Transport Systems were brought in as a strategy to
accelerate transformation under the national government led initiative known as the Integrated Rapid
Public Transport Networks which saw the introduction of the Gautrain and Bus Rapid Transit (Ahmed,
2004). To date implementation of such initiatives has been slow despite massive investments.
Dawood and Mokonyama (2015) observe that the South African public transport challenges have been
persistent despite various transformation and formalization initiatives since 1996. Even after the
promulgation of the National Land Transport Act in year 2000 which was soon followed by attempts to
recapitalize minibus taxis and restructuring of bus operations contracts under the accelerated modal
upgrade programme (van Ryneveld, 2008).
The accelerated modal upgrade initiative has slowly subsided with minimal positive outcomes and has
been overtaken by innovative urban transport initiatives implementation which seeks to produce a
competitive and integrated urban public transport network (Department of Transport, 2007). The
Gautrain and Bus Rapid Transit (BRT) are at the centre of Innovative Urban Public Transport Systems
towards an integrated urban public transport network in South Africa. The economic benefits from these
135
innovative transport systems to the urban poor and the previously disadvantaged leaves much to be
desired.
The South African Urban Public Transport is characterized by poor coordination with multiple
stakeholders and service providers responsible for providing public transport services for the commuters
(Mashiri, Mokonyama, Mpondo, Jakhwizara and Mdunge, 2014). These ranges from formalized
municipal buses in major cities, private owned bus companies, rail transport as well as a non-regulated,
informal public transport in form of taxis which is arguably transporting most of the countries
passengers in urban areas. In an attempt to deal with the ills of the past, South Africa developed
strategies towards an Integrated Mass Rapid Public Transport Networks (van Ryneveld, 2008). It is
from this initiative that innovative transport system like A Re Yeng and Gautrain implemented in the
City of Tshwane emanated.
Given the South African context, public transport is the priority and there should be a transport network
of high frequency/volume corridors with the aim of shortening the time for travel tips and improved
access to economic opportunities (Patel, Freeman and Mitchell, 2001). The achievements of the country
in urban public transport planning and implementation has been disappointing despite good policy
instruments and legislation informed by good principles which are based on the 1996 White Paper which
is in line with international standards
The apartheid system of governance has contributed to the current land use pattern which perpetuates
long travel distances with location of townships far from major economic nodes (Patel et al., 2001). The
apartheid system has also contributed to the availability of cheap land for housing development far from
the major economic nodes mainly linked through mass public transport rail network which constitute a
fragmented spatial form. Transit-orientated development (TOD) and smart growth shape the urban form
as core component under infrastructure development (Todes, 2012). While there is a drive towards
improved access to opportunities by all, the subsidised housing for the urban poor have been planned
implemented in a manner that it works against access to opportunities by all.
The need for stakeholder cooperation has been identified as a lacking crucial component despite
continued massive investments for public transport infrastructure and services by government (Van
Ryneveld, 2008). There is a need to strengthen the public sector human resource to carefully analyse
and understand public transport markets trends in order to influence the country towards a
comprehensive urban public transport network through efficient implementation of policy and
legislation.
Given the significance of mobility in the urban areas, one cannot overlook the importance of improving
access and promoting affordability which will allow people to participate actively in the economy.
Mashiri, Maphakela, Chakwizira and Mpondo, (2013) note that “the transportation burden faced by
developing rural and urban communities on a daily basis in South Africa is real and substantial.”This
is noted while massive transport infrastructure grants are made available each year which makes it not
a question of availability of funds rather the manner in which transport planning and implementation is
facilitated with limited research guiding practice.
It is evident that the South African Government has prioritized improved public transport system with
the support provided through mega investments and strategic policy instruments. Van Ryneveld (2008)
observes that South African urban public transport system has reached a critical stage with major cities
136
(supported by national and provincial governments) already geared up to implement innovative urban
public transport systems. Metropolitan cities seem to be the ones driving the innovative urban public
transport systems initiatives while other cities and towns are lagging behind. This is understandable
given the population concentration and major economic activities in these metropolitan areas.
The 1996 White Paper on national public transport policy is perceived as the key building block that
formed the basis of urban public transport systems transformation in the democratic era (Dawood and
Mokonyama, 2015). There has been a significant shift in terms of policy instruments since the White
Paper that was published in 1996 but there is still a need for a pro-active approach to deal with the
prevailing circumstances and ever rising challenges facing the country. The White Paper was then
followed by the Integrated Rapid Public Transport Networks initiate which is a more sophisticated
initiative towards an innovative urban public transport system. From this initiative innovative urban
public transport systems like the Gautrain and Bus Rapid Transit (BRT) were introduced with the BRT
as the common adopted form of innovative public transport across major cities in the country.
With the promulgation of the Infrastructure Act, Act 23 of 2014, South Africa has recognised the need
to carefully manage and invests in infrastructure development, including transport infrastructure. Many
discussions are taking place around spatial restructuring through integration and building good
infrastructure to support the economy. Despite various initiatives and investments in transport
infrastructure development, the poor planning for this growth has led to failure symptoms such as severe
traffic congestion, conflicting vehicle-pedestrian movements, increased number of uncoordinated
small-scale freight vehicles and severe parking shortages (Marrian, 2001).
5. Socio-economic implications of prevailing circumstances in South

Africa
Social and economic transformation has been arguably the core of South Africa’s post-apartheid
economic growth and development agenda (Leibbrandt, Woolard, McEwen and Koep, 2010). Spatial
structures and forms inherited from the apartheid planning system have hindered and frustrated the
social and economic transformation in most parts of the country (Turok, 2013). Pre-1994, the South
African economy used to be that of a polarised labour market where benefits of most skilled jobs were
accessible mainly by the minority or whites and the native people occupied the low income jobs in the
unskilled or semi-skilled labour market (Leibbrandt et al., 2010). These necessitated that economic
transformation becomes South Africa’s top priority hence numerous transformation orientated policies
were developed. Most of these policies can be deemed to have made little or no difference given the
prevailing circumstances on the socio-economic challenges that South Africa is constantly battling with.
Long-term unemployment is the most prolific, unprecedented negative consequence born of the
country’s history of skewed distribution of economic opportunities (Van Der Westhuizen, 2012). Over
the past two decades little or no progress has been witnessed in equal distribution strategies which are
crucial for economic empowerment, land reform and access to urban amenities despite having
proliferation of micro-financing and institutional transformation (Baruah, 2009).
The income disparities in South Africa are by far a reflection of the historical imbalances manifested
though a racial footprint and geographic location (Leibbrand et al., 2010). It is not surprising that even
the educated workforce from the previously disadvantaged communities and racial groups are subject
to ever increasing unemployment in the country. Travel costs and lack of access to economic
137
opportunities has been the predominant challenges for most people of South Africa with the urban poor
having to spend more than a third of their income in travelling cost while also travelling long distances
(Patel et al, 2001). Government subsidy has only been offered for the bus system and rail network which
excludes the taxi industry which is arguable the biggest transporter of the urban poor segment of the
population (Dawood and Mokonyama, 2015). Thus, this has contributed to lack of economic integration
of the urban poor.
Limited access to economic opportunities by the urban poor where the geographic location of some
residents means that they are far from work places and as a result the cost for transport is increased as
they have to use more than one mode of public transport for a single trip (Franklin, 2014). This also
results in increased travelling times which negatively affect productivity in the work place and end up
discouraging some residents from working, some even give up their jobs due to high travelling costs
and long travel distances (Mackie, Laird and Johnson, 2012). Entry into the formal economy is arguable
the most challenging for the previously disadvantaged. In light of this note, one would expect South
Africa to have a large informal economy but surprisingly it is relatively small and even those involved
in informal trading often times find themselves victims of state bureaucracy through the public policing
system. There is a need to encourage informal economy through legislative and other interventions.
The status quo of the complex and interconnected South African Socio-economic challenges can be
attributed to apartheid and colonialism. Even the history of South African labour market and distribution
of economic opportunities is that of an unequal society where access to economic opportunities set on
the bases of discrimination for decades during the apartheid era prevail. With the birth of the democratic
dispensation in 1994, there has to be a shift in mind set and policy frameworks. However, South Africa
still has a huge mountain to climb to redress ills and imbalances of the past, especially on the labour
market polarisations and access to economic opportunities and spatial fragmented society.
The democratic government of South Africa have emphasized on economic transformation, widely
supported by the developed policies and strategies to alleviate poverty, reduce unemployment and
address challenges of inequality given the ills of the past. This is through a number of policies and
programmes have been put in place by the South African government (Gumede, 2013).Despite the
efforts, statistics suggest that there has been little or no progress if any in bridging the inequality gap
and alleviating poverty. This is observed as the State continues to produce policies and plans that looks
good on paper but with limited or no significant impact in improving people’s lives (Cilliers and Camp,
2013).
The policy frameworks and all other forms of interventions that have been commissioned since 1994
were centred on the premises of transforming and addressing the past development imbalances. Twenty-
two years into democracy, all spheres of states are now mandated through the Spatial Planning and
Land Use Management Act, (Act 16 of 2013) to economically integrate the previously disadvantaged
areas and promote spatial justice and sustainability. The National Development Plan as well as the New
Growth Path also supports the notion of on economic transformation addressing the imbalances of the
past while fostering spatial integration.
Since the 1994 transition to democracy South Africa has recorded steady economic growth per annum
(although has significantly dropped recently) but socio-economic challenges like poverty and inequality
continue to persist despite the increased governmental redistribution initiatives (Van Der Westhuizen,
2012). As already highlighted, there have been various attempts by the democratic government to
138
improve the social and economic status of the people and build sustainable communities situations on
the ground suggest otherwise. From the Reconstruction Development Programme (RDP) to the 1996
Growth Employment and Redistribution (GEAR); Urban Renewal Programme of 2000; Accelerated
and Shared Growth Initiative – South Africa (ASGISA); the New Growth Path of 2010 and now the
National Development Plan Vision 2030, the impact on the day to day lives of the residents leave much
to be desired.
In contrast, questions are now raised on whether or not has the state created a dependency culture where
people are solely dependent on government to provide their needs. Though poverty has been debated
as the increasing source of income for people’s survival, however this should not overshadow the role
of social grants in the countries poor segments of population. In the public dialogues, service delivery
protests and economic disparities have been the focus point of the discussion where the inclusive nature
of government policy initiatives and service delivery is questioned. The defining feature agreed upon
in all these dialogues has been the notion that issues of economic disparities and labour market
polarization persist and coexist with the previously disadvantage continuously being marginalized.
6. Urban Public Transport Systems and Economic Transformation in

the City of Tshwane
The City of Tshwane is the administrative capital city of South Africa and the 5th largest metropolitan
municipality in the country. It is located in Gauteng province which is known as the economic hub of
South Africa. As a result, the innovative urban public transport systems for the province’s three
metropolitan cities (including the City of Tshwane) are critical not only for the province’s economic
growth and development but also the South Africa as well. Urban communities in South Africa face
substantial and real challenges and burdens with regards to transportation and access to economic
opportunities (Mashiri, Maphakela, Chakwizira and Mpondo, 2013). This is still being observed despite
massive transport infrastructure investments in the country during the democratic era.
In this regard, an effective and efficient transport system becomes the core component of spatial
integration and economic transformation in Tshwane. Hence innovative urban transport systems focal
point of discussion. Mulenga (2013) argues that transport corridors have a critical role to play in
integration and development at large. With major investments on rail and road transport in Gauteng
province, the expectation is that such investments should translate to spatial integration and economic
transformation.
It is essential that both soft and hard infrastructure is taken in to cognizance in development processes
and policy formulations (Mulenga, 2013). The hard infrastructure relates to the railway lines and
highways or BRT routes whereas soft infrastructure speaks to the socio-economic programs and
institutional or market orientated development secondary to hard infrastructure (Fung, García-Herrero,
Iizaka, and Siu, 2006). These observations are also acknowledged in the Gauteng 25-Year integrated
transport master plan of 2013 focusing on intelligent transport systems. This plan outlines the
Province’s envisaged plans to develop sustainable transport system that will anchor the economic, social
or cultural and environmental objectives of Gauteng (Department of Roads and Transport, 2012).
Consequently, the need and search for innovative approaches to economic transformation and
development planning has been identified. In this regard, transport planning has been identified as a
key sector in facilitating economic integration and transformation. While this has been said, it is also
139
important to note that places are unique and area specific issues should be studied, analysed understood
in order come with relevant solutions or recommendations. South Africa prevailing economic
disparities and uniqueness of different areas within the country should be noted and attended to (Todes,
2012). Hence questions remain on what hinders economic transformation in the City of Tshwane,
Gauteng province and South Africa at large despite various initiatives and major investments to enhance
economic growth and development.
The current political administration of Gauteng provincial government has outlined their plans and
intentions to transform the economic space of Gauteng province in the next 10 to 15 years (Makhura,
2015). This was through the pronouncement of the multi-pillar programme of radical transformation,
modernization and reindustrialization of Gauteng geared towards social cohesion and economic
inclusion. Taking note of the afore mentioned, it is important that questions are probed and new
innovative approaches are researched and adopted to prevent repetition of major policy interventions
and investments with limited progress in terms of economic transformation.
The City of Tshwane serves as South Africa’s administrative capital city and amongst Gauteng’s three
metropolitan cities, and therefore the city has a significant role to play in shaping the direction of growth
and development in the region. In light of this, it is important to commend initiatives to improve
Tshwane’s innovative urban public transport system through the A Re Yeng Bus Rapid Transit (BRT)
system. It is also important to note that the Gautrain is an initiative driven and implemented by
provincial government and not the Municipality. Currently the BRT system runs mostly between
Pretoria CBD and Hatfield with connector points in between while the Gautrain within the City of
Tshwane has three stations namely Bosman, Centurion as well as Hatfield station with the intentions to
expand in the near future. The Gautrain Route also runs between Pretoria CBD and Hatfield with only
two stations namely Bosman (Pretoria CBD) and Hatfield. Although the Gautrain also has another
station in Centurion that is fully operational, for the purposes of this study only the Bosman – Hatfield
route was the focus of the study since only these two major nodes also have the BRT system.
Long distance between residential area (for the urban poor) and economic opportunities, extended travel
times and high travel costs have a negative impact on the productivity of workers and in some cases
may lead to low income earners giving up their jobs or discourage them from looking for employment
opportunities completely (Pettinger, 2011). This suggest that there is a serious need to create affordable
public transport options. The study findings reveal that the Gautrain is by far not affordable by the urban
poor (who constitute majority of the City’s population). The low-income group still prefer the taxi
industry siting reliability and affordability while the middle-income group is keen on using the
innovative urban public transport systems and the high-income groups are mostly using the Gautrain or
private transport. The A Re Yeng BRT system proved to be the only option for the urban poor. The
Gautrain is said to be serving the rich and the upper market class of the Tshwane community (which is
in minority). Given the local context, the BRT system should take priority in terms of budgeting and
implementation as it caters for the wider community and affordable by all. On the other hand, the
Gautrain can be used mostly for linking major economic nodes for those making business trips.
Field observations and general consensus by the respondents were such that, in some instances public
transport does not take commuters directly to their respective place of work or residence and therefore
necessitating commuters to use two or more modes of public transport. This therefore makes connector
140
points between residential areas and major economic nodes including linkages to work places and
residential areas a critical component for innovative urban public transport systems. This will require
cooperation and integration of different public transport providers, both public and private. Such was
successfully implemented and achieved in Rio de Janerio. This was through the introduction of one
travel card, i.e. Bilhete Único Integrado (BUI) or Integrated Ticket Fare launched in 2010 for different
of modes of public transport in Rio de Janerio (Brazil) which helped reduce travel time and cost
(Babinard, 2012).
This depicts effective planning and integration in urban public transport system where the poor and
those living in the outskirts of the urban area benefited through the reduced travel costs and time. One
of the respondents from the Municipality during the key informant interviews argued that the success
of the Rio de Janerio innovative urban public transport system can be attributed to local context based
solutions without directly copying a system that works in another city or country which may result in
neglecting local specific issues and challenges. As already highlighted earlier, places are unique and
should be treated as such. This does not dispute taking lessons from successful case studies but
encourages that while drawing lessons externally, local complexities should not be neglected.
It is now evident that transport planning is evolving from a more traditional approach to transport
planning towards a rational, comprehensive integrated approach that takes into account all modes of
transport (Litman, 2013) while also fostering investments returns and positive spinoffs in economic
growth and development (Mackie et al., 2012).To achieve these, innovative urban public transport
system must be coordinating through an integrated approach to decision making and operations
management to achieve economically viable and sustainable transport systems (Pardo et al., 2010).
Mechanisms must be developed to ensure that transport planning investments and decision does not
compromise the value of social, economic and environmental aspects of development focusing on
realistic solutions to community problems. Through innovative urban public transport systems with
strong focus on integration, cities will become hotbeds for innovation where trade, tourism, commerce,
services and education will be improved and prosperous.
The genesis of an integrated approach to transport planning can be traced back to European during the
20th century (Pojani and Stead, 2015) from which the rest of the world followed suit. Arguable,
integration is measured through best practices where various analytical methods are applied to optimize
an efficient transport network with improved consumer experience and accelerated economic growth
and development (Preston, 2012). Integration encompasses a number of factors which when facilitated
and coordinated accordingly, best practices that contribute to economic transformation is inevitable
(Potter et al., 2000). This can be evident easy access to economic opportunities, improved business
opportunities, affordable transport options and fully functional, efficient and integrated urban public
transport network characterised by reduced travel costs and improved productivity in work places while
eliminating the element of discouraged unemployed residents.
Land use patterns of a city or town also influences the travel pattern transport network (Cervero, 2001).
This makes coordination of land use planning and transport planning a critical component in towards
sustainable development and creation of functional cities and urban centres that caters for the needs of
the people. Evident in the City of Tshwane case is the involvement of the town and regional planning
department in the innovative urban public transport where there focus on densification along BRT
corridors. Through this initiative, the City of Tshwane is developing regional spatial development
frameworks which intend to ensure that people leave closer to the BRT corridors and therefore
141
promoting easy access. However, it is important to note that during the key informant interviews it was
evident that accommodating development for low income earners will be a challenge since most
developers are more interested in making profit. This leaves a responsibility to find ways in which the
Municipality can secure land for developing a variety of housing options and create subsidy schemes
to ensure low income earners and urban poor are not excluded but accommodated in the densification
initiatives along the BRT corridors.
8. Conclusion and Recommendations
Since 1994 various policies and programmes have been commissioned to better peoples’ lives and
facilitate social and economic transformation towards sustainable livelihoods but the prevailing
circumstances leaves much to be desired. Problems of poverty and inequality persist and coexist despite
numerous programmes and investments that have been put in place over the past 22 years. Central to
this are the ever increasing problems of unemployment, labour market polarization, informal
settlements low literacy skills, lack of access to basic amenities in most rural communities of the
country.
The economic transformation agenda still needs to deliberately facilitate the inclusion of the poor in
line with the massive transport infrastructure investments that have been made. The urban poor and
previously disadvantaged citizens are yet to meaningfully benefit from innovative urban public
transport systems investments. Their economic constrains need to be at the fore front in order to access
employment opportunities and get the necessary exposure for entrepreneurship and improved business
opportunities that come with innovative urban transport systems.
Major investments opportunities should prioritise the urban poor instead of mainly improving the lives
of that are already part of the formal economy. As already indicated in the findings and discussion
section, the Gautrain is not a mode of urban public transport that can cater for the needs of the urban
poor as it is by far not affordable. The BRT system (which has proven to cost less than half price of a
single trip in the Gautrain) therefore becomes the appropriate option given the socio-economic needs
of the urban poor. However, evidence on the ground suggest that places where the urban poor reside
are most likely going be the last to receive the BRT system since the project already started by
prioritising major economic nodes and not necessarily places where the urban poor reside. On the other
hand, they cannot afford living expenses in place that take priority in the Municipal Plan’s
implementation of the BRT system.
Accordingly, the study advocates for an integrated approach to economic transformation and innovative
urban transport system. Human capacity development anchored through investment in education, skills
development and human rehabilitation for self-help projects and Small, Medium and Micro Enterprises
(SMME’s) is highly recommended. To foster economic transformation in South Africa, attention must
not only be given to creating opportunities but also preparing citizens and the previously disadvantaged
to use those opportunities effectively and benefit from them economically.
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DII-2017-031
Performance Indicators for Lean Construction in South

Africa: Lessons from the Port Elizabeth province
Thabiso Monyane1, Bankole Awuzie2, Fidelis Emuze3
Abstract
This study sought to identify the Key Performance Indicators (KPIs) for monitoring the implementation
performance of lean construction (LC) practices in South Africa. Given the limited penetration of the
LC concepts and its associated tools in South Africa, an identification of how to measure progress
among general contractors who are embracing practices akin to LC has become imperative. Relevant
KPIs were extracted from conference proceedings published between 1996 and 2016 on the
International Group for Lean Construction (IGLC) website using content analysis. Subsequently, a
group of contractors, purposively selected as interviewees, were asked to identify KPIs being utilized
by their organisations. Notable KPIs highlighted comprised mainly of the conventional ones like cost,
time, quality, client satisfaction, minimal environment impact and improved value. It is worth noting
that lean-specific KPIs were not observed from the thematically analyzed data. This realization
reinforces the perception that LC practices are yet to make sufficientinroads into South Africa,
andconventional KPIs are not adequate to indicate otherwise.
Keywords: performance indicator, lean construction, South Africa
14
1. Introduction
Construction project failures are being increasingly reported around the world. Instances of such failures
appear to be prevalent in the developing countries, particularly in Africa. Countries within the continent
are continually relying on the efficiency and effectiveness of the construction industry to deliver on its
stride towards bridging the infrastructural deficit experienced within the continent. Furthermore, the
attainment of construction project success not only within the continent but also across the globe has
become difficult as a result of industry peculiarities such as its fragmented nature, etc. These
peculiarities often lead to the occurrence of various types of waste. Accordingly, construction projects
can be described as being vulnerable to wastes, hence denying clients the much sought after
improvement of value (Al-Aomar, 2012). Suffice to say that construction activities across the globe
have become synonymous with high levels of waste and Lean Construction has been identified a potent
philosophy for curbing such wastes and resulting in optimal value creation for stakeholders (Bolviken
and Koskela 2016). According to Arbulu and Zabelle (2006), considerable attention has been devoted
1Lecturer, Department of Built Environment, Central University of Technology, Bloemfontein, Free State.
[email protected]
2Senior Lecturer, Department of Built Environment, Central University of Technology, Bloemfontein, Free State.
[email protected]
3Associate Professor, Department of Built Environment, Central University of Technology, Bloemfontein, Free State.
[email protected]
147
by construction organisations towards the attainment of the benefits accruable from lean construction
practices if properly adopted and implemented. Several case studies abound which attest to some of the
proven benefits and pockets of excellence experienced within contexts where lean construction
principles have been adopted either holistically or partially and implemented likewise (Alarcon et al.,
2002; Swain and Mossman, 2003; Wu and Low, 2011; Andersen et al., 2012; Keiser, 2012).The lean
philosophy appears not to have attracted all-round accolades as some unsuccessful projects have also
been reported, the integration of lean practices, notwithstanding (Olatunji, 2008; Senaratne and Wijesiri,
2008; Abdullah et al., 2009; Mossman, 2009a).
Lean construction has been described as a management philosophy which seeks to be defined according
to its pursuit of ideals such as waste elimination, cost reduction, mainstreaming of innovative practices,
engagement of right skills mix and effective organisation within the workplace as well as methods
utilised in the attainment of these ideals (Ballard, 2015). Significant advances have been recorded in
the field of LC over the past decades. Challenges have been posed to extant production and project
management theories resulting in the development and dissemination of new tools of lean construction
to relevant stakeholders in the construction industry (Ballard 2000a; Ballard 2000b; Howell 1999;
Koskela 2000). To buttress the growth of the LC literature, a substantial body of literature now exists
especially from the archives of the International Group for Lean Construction (IGLC), a special interest
group of academics and practitioners with interest in Lean Construction.
Despite the acknowledgment of successful implementation of LC practices in developed and emerging

economies such as USA, UK, Australia, Brazil, Chile, Finland, Singapore, Peru, Ecuador, Indonesia
and Columbia (Ballard and Howell, 2003), African countries seem not to have made appreciable
progress in this wise. The case of South Africa is even more pertinent. A recent study conducted within
the South African context reveal a low rate of LC awareness among industry stakeholders (Emuze and
Ungerer, 2014). The inability of interested parties within the construction sector, in South Africa as well
as the rest of the developing world, to measure the improvements brought about by the integration of
LC practices remains a major obstacle to its adoption by these stakeholders. Accordingly, it becomes
difficult to attract converts to this innovative approach in the absence of widely accepted performance
indicators. This is partly due to the perception of relevant stakeholders of LC being largely conceptual.
Questions about its meaning, processes for identifying where it has been applied, whether it implies
achieving more with less as well as how much less actually qualifies as lean are continually being asked
by interested parties. Obviously the construction industry in these climes requires an articulation of LC
in a way that can easily be understood hence engendering its successful application (Ward 2015). Such
an articulation would require the identification of widely accepted lean-centric KPIs for different
stakeholders within the South African construction industry.
KPIs have been described as a means of improving the effectiveness and efficiency of construction
projects. According to Yong and Mustaffa (2012), KPIs represent indicators which are “critical” to the
success of the performance of a sector or organisation. They differ from organisation to organisation
depending on contextual peculiarities such as their respective operation environment, policies and legal
restrictions. But the most common KPIs available revolve around the generic items of cost, time and
quality. However, concerning KPIs for LC implementation, Leigard and Personen (2010) observe that
many case studies on LC implementation addressed implementation issues for a single project and not
in a more holistic manner. This signals an inadequacy of extant KPIs for measuring effective LC
implementation across a plethora of construction projects. This implies the elusive nature of the search
for KPIs in the implementation of LC in construction project (Netland, 2015).
148
This is the gap which this study seeks to contribute towards bridging. However, the scope of this study
will be limited to the contractors within the Port Elizabeth municipality of the Eastern Cape province
of South Africa. The choice of contractors was premised on the centrality of their role to the attainment
of project success or failure. This study stems from a proposition that an increased uptake of lean
construction practices amongst contractors would lead to better project delivery outcomes. Admittedly,
the identification of KPIs from the worldviews of these contractors would contribute to the development
of a widely acceptable set of KPIs for LC implementation performance management within the South
African Construction industry.
To achieve this salient objective, subsequent parts of this study will consist of: a brief review of the
literature on performance measurement in construction and the integral nature of the KPIs therein; a
justification of the research methodology adopted in the conduct of the study, a presentation and
discussion of the findings, and the concluding remarks.
2. Performance Measurement in the Construction Industry
Performance is described as the valued productivity output of a system in the form of goods and services
(reference is needed). The term ‘performance’ denotes the degree to which an organisation fulfills
primary measures in order to meet the needs of its customers (reference is needed). Al-Aomar (2012)
defines performance in competency terms as the behaviouralcompetencies deemed critical to the
attainment of goals within project-based organisations. Franco-Santo, Lucianetti, and Bourne (2012)
extend this definition by introducing the contemporary performance measurement system, which, for
instance, consists of balance scorecards (BSC) and KPIs among others
An effective approach to selecting performance measures is the identification of the minimum set of
measures which can enable effective judgments on the standards and extents of a particular process.
The selection of performance measures should consider actions that reinforce the activities that are in
the best interests of the organisation (Cha and Kim, 2011). Construction organisations should align the
reasons for implementing a performance measurement system with the need to improve the overall
effectiveness of its business processes. Accordingly, performance measurement can be described as
involving the identification of a balanced set of measures for measuring what matters to service users
and other stakeholders, involving staff in the determination of the measures and making sure that both
perception measures and quantifiable performance indicators are included (Ofori, Teo and Tjandra,
2012).
2.1 Key performance indicators
According to Parmenter (2010), KPIs represent a set of measures focusing on those aspects of
organisational performance that are most critical for the current and future success of the organisation.
The KPIs reflect a balance between cost, quality and time. These indicators must be the critical and
should be able to alert managers immediately if something goes wrong so that they can react to it.
(Marx, 2013).
KPIs as applied in construction industry enables contractors to:(1) overcome uncertainty in contractor
selection processes; (2) unify and standardize data collection processes surrounding KPIs; (3) enable
greater clarity in contractor evaluation; (4) increase the quality of measurement and benchmarking
processes; (5) provide essential pre-qualification measures for small to medium construction
149
organisation; (6) improve contractors’ competitiveness, (7) improve the quality and performance of
construction process; (8) increase levels of customer satisfaction; and (9) improve project management
capabilities (Alkilani, Jupp and Sawhney, 2012).
This study adopts a qualitative case study research design with emphasis on the collection of data in
two distinct yet interrelated phases. A review of the conference and journal article publications spanning
a 20-year period on databases of the International Group of Lean Construction (IGLC), Lean
Construction Journal, Emerald, Taylor and Francis, Sage, Scopus, and Ebscohost was conducted,
initially. The keywords/search terms utilized in searching for relevant studies across these databases
consisted of the following; ‘lean indicators, lean performance indicators, lean key performance
indicators’. Searches were conducted between the 1st day of March, 2017 to the 24th day of March, 2017
by the authors. These databases were selected as a result of their proclivity towards hosting journal
publications on innovations in the construction industry such as LC. After a thorough search across
these databases, 45 articles and conference papers were extracted using content analysis based on the
search terms used. It must be noted that due to the inability of the authors to gain full unrestricted access
to the publications available on these databases contributed to the meagre number of publications
obtained. This posed a major constraint to the authors. The authors then perused through these articles
to identify the lean KPIs mentioned therein.
The second phase of the data collection exercise consisted of the conduct of interview sessions with a
purposively selected group of contractors within Port Elizabeth. Port Elizabeth was chosen for this study
due to convenience purposes. Interviews have been described as capable of letting the interviewer into
the worldviews of interviewees. Also, the adoption of semi-structured interviews as a data elicitation
technique for this study provided the researchers with the flexibility needed to alter the questioning
patterns to suit the particular interviewee. In consideration of the need to explore the perceptions of
contractors concerning KPIs for measuring LC implementation performance in construction projects,
12 CIDB grade 5 contracts managers were selected as interviewees. Leedy and Ormrod (2010:141)
recognise that “a typical sample size ranges from between 5 to 25 individuals”. These respondents were
sent invitations to participate in the study and asked to signal their intention to participate in the study
to the authors. Seven interviewees replied in the affirmative and were subsequently recruited.
Reminders sent out to the remaining five prospective interviewees were not replied within the timeline
provided.
Having relied on a review of the lean KPI related articles sourced from the abovementioned databases
and content analysis, the authors had developed an understanding of what these lean-centric KPIs were.
Armed with this knowledge, they proceeded to ascertain from the interviewees, the manner of KPIs
they applied in the measurement of LC implementation performance on their projects. Interview
sessions lasted for an average of 30 minutes each. With the permission of the interviewees, the interview
sessions were recorded with the aid of a tape recorder and subsequently transcribed. The transcripts
were then read severally in the bid to establish any patterns worthy of note. These transcripts were
thematically analysed in accordance to the pre-set theme selected by the authors prior to the
commencement of the interview sessions proper.
150
4. Presentation of Findings and Discussion
Based on the review of 45 articles and conference papers sourced from various databases, nine (9) broad
KPIs for lean construction implementation were extracted using content analysis. The nine KPIs are
presented in Table 1 below.
Table 2: Identified KPI’s for lean implementation

KPI A brief description of the KPI Source
1 Time Construction time, the speed of Leong, Zakuan and Samon (2014); Marx (2013);
construction and time variation. Parmenter, 2010.
2 Cost Tender sum, construction costs, Leong et al. (2014); Parmenter, (2010); Marx
costs due to variations and (2013).
modifications.
3 Quality The ability of the project to adhere Leong et al. (2014); Parmenter,
to the setup specifications. (2010); Marx (2013).
4 Health and safety Fatalities, accidents and injuries Marx (2013); Parmenter, (2010).
5 Client satisfaction Completion on time Al-Aomar (2012); Parmenter, (2010).
6 Environmental Air emissions, noise, solid waste Marx (2013); Al-Aomar (2012); Parmenter(2010)
impact and water discharge.
7 Waste Number of defects, rework, errors, Al-Aomar (2012); Parmenter, (2010).
and omissions, the number of
change orders, safety costs, excess
consumption.
8 Speed Quick delivery, speedy Al-Aomar (2012); Parmenter, (2010)
construction.
9 Value Added value, profit, financial Al-Aomar 2012
achievement, owner satisfaction
The identification of these KPIs for LC implementation performance provided the authors with an in-
depth understanding of what such KPIs were. This understanding was imperative considering the novel
nature of the concept within the South African construction industry context where the selected
interviewees were integral players. Excerpts emanating from the interview transcripts were presented
according to the pre-set themes selected by the authors at the outset of the data collection exercise.
These pre-set themes consist of the following, namely: awareness of LC among the contractors;
knowledge of performance measurement indices in construction; KPIs for Lean construction
implementation performance.
The discussion of the findings from the interviews will be presented in line to these above-mentioned
themes.
4.1 Awareness of lean construction
Undoubtedly, with reagard to awareness of LC concepts or practices among contractors, it can be stated
that without any awareness of such concepts, contractors would not be interested in implementing them
within their projects and as such, will not be able to provide any LC based KPIs. This notion prompted
the interviewer in this instance to commence the interview sessions with questions relating to the level
of awareness of the interviewees concerning LC practices in construction. Five of the interviewees
indicated that they were not aware of LC and proceeded to request for a brief explanation of the concept.
Conversely, whereas two of the interviewees posited that they were aware of the LC concept, such
151
awareness did not readily translate to adequate knowledge of the concept and the associated techniques
for its application. Buttressing their level of awareness, they requested a brief explanation of the
concept of lean construction and how it works. This request was acquiesced by the interviewer who
carefully explained it to them. Following from the findings in this instance, it can be averred that there
is a low rate of awareness among contractors in Port Elizabeth, South Africa, hence affirming the
findings made by Emuze and Ungerer (2014) concerning the low level of awareness and uptake of the
LC concept among relevant stakeholders within the South African construction industry. There is need
for an improvement in the level of awareness regarding LC concepts in South Africa as such
understanding/awareness has been on the rise in other parts of the world, developing and develop, alike
(Raghvan, Kalidindi and Koshy, 2014). In furtherance to this, it was observed that the actual
implementation of the lean concept in projects had not taken place in any significant manner in Port
Elizabeth, South Africa (Cerveró-Romero, Napolitano, Reyes and Teran, 2013).
4.2 Identifying KPIs
During the interview sessions, the interviewees were asked to identify the key performance indicators /
KPIs used for measuring lean implementation performance in construction projects. Since all
contractors did not implement lean, they could not identify KPIs for lean construction in their projects
and organisation. The contractors had some idea of what the KPIs were but still required a brief
explanation about the KPIs being sought for by the interviewer. There was a consensus among the
interviewees on the nature of cost, time and quality and health and safety (H&S) as KPIs which they
adopt during project implementation for measuring implementation performance. Four contractors
mentioned health and safety and the environmental impact as KPIs. These findings correspond with
those emanating from studies carried out by Marx (2013); Chan and Ada (2004) and Enshassi et al.
(2012). These scholars posit that cost, time and quality are the three basic and most important
performance indicators in construction projects, followed by others such as safety and client
satisfaction. The study reflects that most of the KPIs in the selected organisations are adopted as a policy
matter and not based on benefits or gains. Those practices which are being stipulated under some policy
guidelines are being practised whereas those practices which are not specified to be implemented are
mostly left to the choice of practitioner. This showed that even though contractors used KPIs, they were
not aware of its impact on the performance management system.
5. Conclusion
The adoption of LC practices in the delivery of construction projects has been described
severally as a panacea for curbing the imbroglio of project failure across the globe. A plethora
of evidence abounds to attest to this notion. South Africa has continued to grapple with the
increasing incidences of failed construction projects, signalling the need for a change in the
contemporary mode of project delivery in the country. Proponents of LC have continued to
advocate for its adoption and integration within the local construction industry, highlighting as
it were the immense benefits accruable from the proper application of the concept especially
as it pertains to waste elimination, cost reduction, timely delivery and superb quality which
conforms to the tenets of sustainable development.
The inability of relevant stakeholders to develop and maintain KPIs for the measurement of
LC implementation performance on projects has been identified as a challenge to the holistic
152
adoption of the principle in several construction industries like South Africa. The absence of a
widely accepted set of LC based KPIs within the context further exacerbates this imbroglio and
thus, has prompted this study. The study sought to identify the KPIs for LC implementation
performance which are peculiar to the South African Construction industry context. It relied
on the use of relevant publication databases and semi-structured interviews. However, the bid
to make a significant contribution to the on-going discourse over the mainstreaming of LC
practices into every facet of the construction project was controverted by the low level of
awareness among contractors in the study area concerning LC practices. As a result of this,
contractors interviewed were not able to distinguish between the conventional KPIs for
measuring project performance and KPIs for measuring LC implementation performance. This
observation highlights the need for more awareness to be created by stakeholders in bringing
about such change.
Summarily, it is expected that findings from this study will contribute to the emerging discourse
on KPIs for LC implementation performance in the South African construction industry as well
draw attention of government-the major client- to improve the level of awareness pertaining to
LC integration.
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DII-2017-032
E-Waste Mining, an Alternative to Traditional Mining in
Africa: A Review
Kwame Anane-Fenin1, Esther T. Akinlabi2
Abstract
Globally, e-waste is the biggest source of waste and has the highest growth rate per annum. Africa is
the continent that generates the least amount of e-waste. However, countries like Ghana and Nigeria
have become major dumping sites. The objective of this study is to examine the socioeconomic and
environmental impact of e-wastes and exploring e-mining as a viable solution to mitigate its negative
impact while proposing it also as an alternative to small scale and traditional mining in Africa with a
focus on Ghana. A juxtaposition of the socio-economic and environmental impact of small-scale mining
in Africa to e-mining benefits are examined. The environmental implications of open air burning of e-
waste at the Agbogbloshie e-waste dumping site in Ghana are presented with findings revealing that
surface soils and blood and urine samples from workers at the site were contaminated. A thorough
review of the different e-mining routes available such as pyrometallurgy, hydrometallurgy and
biometallurgywas conducted. The most economical and environmentally friendly routes were
hydrometallurgical and bio-metallurgical channels.
Keywords: bio-metallurgy, cyanide, e-mining, e-waste, hydrometallurgy, leaching, pyrometallurgy,

recycling15
1. Introduction
The “Solving the E-waste Problem” (StEP) Initiative, defines electronic waste (e-waste) as “a term used
to cover items of all types of electrical and electronic equipment (EEE) and its part that have been
discarded by the owner as waste without intention of re-use” (StEP Initiative, 2013). Globally, e-waste
is the biggest source of waste and has the highest growth rate per annum estimated at 3 – 5% (Cucchiella
et al., 2015). Blade et al. (2015) reported that in 2014, the global e-waste generated could be estimated
at 41.8 million tonnes, however, this value is expected to increase to 50 million tonnes by 2018. The
study by Blade et al. indicated that developed nations generated the majority of e-waste. In 2014 e-
waste was valued at 48 billion euro. The combined effects of the advancement towards automation,
miniaturisation and shorter life span of EEEs has contributed to a higher disposal rate and consequently
an increase in e-wastes globally (Blade et al., 2015). The vast varieties of e-waste make its management
complex and challenging. On the average, the estimated life span of most electrical and electronic
equipment is seven (7) years. Africa only generates 1.9 million tonnes of e-waste, but countries such as
Ghana and Nigeria have become major dumping sites (Blade et al., 2015). In Ghana and many West
African countries, the informal recycling of e-waste involves four main steps namely dealing, sorting,
1PhD Student; Mechanical Engineering Science; University of Johannesburg; P. O. Box 524, Auckland Park 2006;
[email protected].
2Vice Dean: Teaching and Learning; Faculty of Engineering and the Built Environment; University of Johannesburg; P. O.
Box 524, Auckland Park 2006; [email protected].
157
dismantling and burning (Srigboh et al., 2016). This form of recycling significantly impacts the
environment and human health negatively (Heacock et al., 2016).
The main aim of this study is to examine the socioeconomic and environmental impact of e-waste and
e-mining as a solution while exploring its possible influence on Small scale and traditional mining in
Africa with Ghana as the case study. A thorough review of the e-waste management problems in Africa
and available technologies and techniques are reported. This study is significant because a case for
adopting e-mining is presented as a viable option for dealing with the problem of e-wastes and
preservation of natural mining. E-mining can also serve as a new avenue for job creation.
2. E-waste Management and Challenges in Africa
2.1 E-waste generation and imports in Africa
Blade et al. (2015) observed that Africa compared to Asia, the Americas and Europe generated the least
quantity of e-waste estimated at 1.9 million tonnes in 2014. However, Africa has become one of the
preferred locations for dumping e-waste. A report from the Basel Convention estimates that from 2009
to 2010, 0.1 million tonnes of e-waste was imported into Nigeria and 0.215 million tonnes (Mt) to
Ghana (Amoyaw-Osei et al., 2011; Ogungbuyi et al., 2012). Egypt, South Africa, and Nigeria are the
leading generators of e-waste on the continent in terms of absolute quantities at 0.37 Mt, 0.35 Mt and
0.22 Mt respectively. The challenges of e-waste dumping in Africa are fuelled and sustained by demand
for cheap and second-hand EEEs, low dumping prices and tougher legislation and standards in export
nations (Blade et al., 2015). Low purchasing power due feeds the rising demand for less expensive
second-hand products. Unfortunately, countries in most African countries. Between 2003 and 2008 the
import of second-hand EEEs (laptops, mobile phones, TVs, radio, etc.) into Ghana from Europe and
North America rose by a factor of 3 (Amoyaw-Osei et al., 2011). The problem with these imports is
that a significant amount of these devices is non-functional and irreparable. In 2010, it was reported
that about 30-40% of all imported electronics into Ghana was declared non-functional. But, 50% of the
imports were repaired while the other 50% (40,000 tonnes) were designated as e-waste (Amoyaw-Osei
et al., 2011. Ghana imported computers worth $23.7 million in 2004; this figure rose to$59.4 million in
2009, a growth rate of 250%. Most of the imported computers were second-hand, but 80% were faulty
(Oteng-Ababio, 2010).
2.2 Lack of e-waste management policies in Africa
High-income countries have efficient and effective domestic e-waste recycling capabilities, whereas
low and middle-income countries mostly rely on informal and unregulated recycling practices which
make countries in Africa fertile grounds for attracting large volumes of e-waste from around the world
(Brigden et al., 2008). Fu et al. (2012) reported that in recent times tougher restrictions had been placed
on importation and informal recycling of e-wastes in most Asian countries. This implies that e-waste
flows previously intended for those nations are channelled to destinations in Africa. Many African
countries do not have policies and legislations aimed at controlling and monitoring recycling and
disposal of e-wastes. It is reported that Cameroon and Nigeria have made some significant progress in
enforcing their national e-waste legislations, while most Eastern and Southern African countries have
managed to minimise e-waste dumping by instituting strict measures at preventing such imports (Oteng-
Ababio, 2010; Blade et al., 2015). For example, South Africa is the only African country that has a
working and operational e-waste recycling system in place while Nigeria and Kenya have introduced
158
measures to limit the importation of used computers by raising duties to 25% (Oteng-Ababio, 2010).
Ghana passed its legislation on e-waste in 2016. A combination of lack of proper policy framework for
e-waste management, lack of stricter legislation and infrastructure for proper recycling has led to e-
waste dumping locations like the Agbogbloshie site which is one of the world’s largest and well-known
e-waste sites and was ranked among the top ten most toxic threats in the world by Blacksmith Institute
and Green Cross Switzerland (Amoyaw-Osei et al., 2011; Bernhardt and Gysi, 2013).
2.3 Environmental and Health Issues Related to E-waste
2.3.1 The impact of e-waste open air burning on surface soil
One of the largest e-waste dump sites in the world is the Agbogbloshie site in Ghana. Tue et al. (2016)
conducted a study on surface soil contamination of the Agbogbloshie site with the specific aim of
determining the concentration levels of the following DFCs namely; Polychlorinated dibenzo-p-
dioxins/dibenzofurans (PCDD/Fs), Polybrominated dibenzo-p-dioxins/dibenzofurans (PBDD/Fs),
mixed halogenated (brominated and chlorinated) dibenzo-p-dioxins/dibenzofurans(PXDD/Fs) and
dioxin-like polychlorinated biphenyls (DL-PCBs). PCDD/Fs are generated when materials made from
chlorinated polymers such as polyvinyl chloride (PVC) coated wires undergo combustion (Duan et al.,
2011; Hibbert and Ogunseitan, 2014). While PBDD/Fs are produced when brominated flame retardants
(BFRs) undergo thermal or photolytic degradation and when plastics containing BFRs are burnt in the
open (Duan et al., 2011). The combustion of materials containing a mixture of chlorine and bromine
generates the mixed halogenated (chlorine and bromine) PXDD/Fs (Brigden et al., 2008). Tue et al.
(2016) observed the following at the Agbogbloshie site: (1) Sample soils collected from areas where
open e-waste burning occurred were reported to be heavily contaminated with chlorinated and
brominated DRCs, (2) Concentrations of PCDD/F and PBDD/F in the soil were found to be among the
highest levels ever reported at dry weight values of (18–520 ng/g) and (83–3800 ng/g) respectively, (3)
PBDFs and PCDFs were found to be the dominant compounds mainly due to combustion of PVC coated
wires to recover copper and (4) The concentration levels of PXDFs were observed to be equivalent to
those of PCDFs
2.3.2 The impact of e-waste open air burning on human health
Terrestrial and aquatic living systems are potentially at risk of Pollution by polybrominated organic
pollutants, dioxins, furans, and polycyclic aromatic hydrocarbons during open air incineration or
landfill disposal of e-waste (Akcil et al., 2015). Several studies conducted at Agbogbloshie e-waste site
have revealed significant concentrations of toxic elements and compound such as arsenic, copper, lead,
mercury, and DRCs in ash, dust, sediment soils and water samples (Brigden et al., 2008; Chama et al.,
2014; Itai et al., 2014; Tue et al., 2016).The health implications of human exposure to these elements
at the site were studied by Srigboh et al. (2016), where the urine and blood of both male and female
workers at the Agbogbloshie site were examined. The conclusions from that study were as follows: (1)
The essential elements within the blood and urine were found to be within the biomonitoring reference
ranges, (2) Cadmium and lead of workers at the site were higher than populations elsewhere at values
of 1.2 mg/L (median) and 6.4 mg/dl (67% above U.S. CDC/NIOSH reference level) respectively and
(3) Urinary arsenic levels were found to be 38.3 mg/L which is 39% above U.S. ATSDR value and
higher than populations outside Agbogbloshie.
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2.3.3 The socio-economic and environmental implications of small-scale mining in
Ghana
Many countries in Africa are struggling to deal with environmental challenges associated with artisanal
and small-scale mining (SSM) because it offers employment directly or indirectly to both skilled and
unskilled labour in mostly rural communities (Aryee et al., 2003; Hilson, 2006; Amankwah et al., 2015).
According to the Minerals Commission of Ghana, the number of persons estimated as directly employed
within the SSM sector is above 1 million (Bansah et al., 2016). Ntibrey (2016) reported that, in 2014,
the SSM sector of Ghana both legal and illegal contributed 1.49 million ounces of gold which represents
34.3% of the total gold produced. SSM is so lucrative that, abuse is causing serious environmental and
health problems. Workers are exposed to several dangers including ground failures which have led to
many fatalities. Dust and fumes inhalation and high noise levels can cause respiratory related ailments
and hearing impairment respectively. Studies by (Aryee et al., 2003; Bonzongo et al., 2003; Bansah and
Bekui, 2015) reported on the adverse environmental consequences of SSMs namely; destruction of flora
and fauna, land degradation, rechannelling and contamination of water bodies with heavy metals, high
total suspended solids and total dissolved solids and increased turbidity. One primary concern is the
continued use of the mercury amalgamation method for extraction of gold which is poisonous to
humans, contaminates soils, water bodies and wildlife (Bonzongo et al., 2003).
E-mining offers a greener opportunity for absorption and utilisation of persons who may be rendered
unemployed as many governments are trying to restrict or entirely ban small-scale mining.
3. Why E-mining?
The demand from the electronic industry on globally mined metals are 50% of tin, 44% of copper, 30%
of silver, 14% of the platinum group and 9% of gold (Golev et al., 2016). Many studies have shown a
steady decline in ore grade of metals globally, and therefore mining companies are compelled to employ
much more expensive state of the art technology to obtain finer deposits of ore grades to meet the
demands globally (Van Eygen et al., 2016). Betts (2008) observed that printed circuit boards (PCB)
have precious metal concentrations that are ten times more the respective ores. The PCBs from laptops,
smartphones, etc. possess the highest amount of valuable materials capable of yielding USD 23,568/ton
of revenue constituting 3-6% of generated e-waste and contains over twenty (20) precious metals (eg.
aluminium, copper, gold, platinum and silver) (Cucchiella et al., 2015; Golev et al., 2016). In 2014 e-
mining yielded 300 tonnes of gold which was 11% of the total global gold production of 2770 tonnes
(Blade et al., 2015). The incentive for e-miningis that an estimate of 60 different metals is retrievable
from e-wastes (Namias, 2013). A study by Cui and Forssberg (2003) reported that e-waste mining has
an energy-saving dimension with findings showing that there is 95% energy savings for Aluminium,
85% for Copper, 74% for Iron, Steel, 65% for lead, and 60% for Zinc. Heacock et al. (2016) reported
that while e-miningcan result in lessening the demands for the mining of natural resources, it
simultaneously helps in reducing greenhouse emissions. Therefore, the benefits of e-mining are in two
folds namely; precious metal retrieval which is essential because of the global shortage of these metals
in the electronic industry and the environmental and health benefits (Golev et al., 2016).
3.1 The process of E-mining
E-mining is the recovery of valuable metals from e-waste. The basic approach employed by most
recycling companies includes; dismantling, physical separation and then end-processing routes. The
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end-processing stage includes; hydrometallurgy, pyrometallurgy and bio-metallurgy for recovery of
base and precious metals (Blade et al., 2015).
3.1.1 Pyrometallurgy
Pyrometallurgical involves the burning of mechanically crushed waste in a furnace or molten bath as a
means of eliminating plastics, flammable and refractory material and metal oxides from the slag phase
followed by recovery and purification of metals. Zhou et al. (2010) proposed a modification to the
pyrometallurgical process for metal recovery from specifically PCBs where 12 wt.% NaOH was used
to recover metal from slag and clean the pyrolysis gas effectively. The metal recovery achieved was
92% Ag, 85% Au and 68% Cu. Pyrometallurgy is the most commonly utilisede-mining method in
Industry (Tuncuk, 2012). The limitations of pyrometallurgy are listed in Table 1.
3.1.2 Hydrometallurgy
Hydrometallurgy is a process of recovering metals through chemical leaching. The environmental

advantages of hydrometallurgyhave made it attractive and the preferred route. Studies by (Ni et al.,
2013; Tue et al., 2013), provide the following reasons for the preference of hydrometallurgy namely;
minimal or Gas emission is zero, No or low dust generation, lower energy consumption, The recovery
rate is high, and Slag is not generated. Limitations of hydrometallurgy are shown in Table 1.
Hydrometallurgy is reported to give the best yields in precious metal recovery and there for the best
option for e-mining (Cui and Zhang; 2008).
Table 1: Limitation of pyrometallurgical and hydrometallurgical processes in e-mining

Pyrometallurgy Hydrometallurgy
Plastics in e-waste are used as an energy source instead Hydrometallurgy processes are usually slower and time-
of coke. Therefore, plastic recovery is not possible consuming. The reduction of e-waste mechanically is time-
consuming.
Iron and aluminium transform to oxides within the slag Reports indicate that 20% of recoverable precious metals is lost
making their recoveries very difficult during mechanical dismantling.
There are dioxins which are toxic and emitted during Cyanide leachants are highly toxic and harmful to the
smelting of e-waste feed. The effects of these environment and humans and require strict adherence to safety
emissions can be minimized by integration of standards. Halide leachants needs oxidising and strong acids
expensive specialised equipment. Pyrometallurgy (corrosive) conditions for optimum metal recovery which
plants for metal recovery are therefore costly requiring makes implementation of this process difficult. Thiourea
substantial investments. leachants are very expensive and have high consumption rate,
hence, restricted to only gold extraction. Thiosulfate leachants
are not as expensive but have higher consumption than the
other leachants, making the process slower.
Ceramics present in e-waste feed can cause loss of
precious and base metals because slage volume
increases.
Pyrometallurgy helps only partially to recover precious
metals with partial purity. Hydrometallurgical and
electrochemical processes are required to recover pure
metals.
The diversity and complexity of e-waste feed make its
smelting and refining challenging.
(Hilson and Monhemius, 2006; Cui and Zhang, 2008; Khaliq et al., 2014)
161
3.1.3 Leaching
Leaching involves the use of a solvent to obtain a soluble constituent from a solid. Acids and halides
are mainly used for leaching of e-waste. Acid leaching is often used to dissolve base metals before
leaching of precious metal with cyanide, or other solvents are done. To recover metals, additional
processes such as electrorefining, chemical reduction or crystallisation are required. A two (2) stage
approach of starting with sulphuric acid leaching in the presence of H2O2 or O2, followed by the
extraction of precious metal in cyanide, thiosulfate thiourea, etc. (Quinet et al., 2005; Kamberovic´ et
al., 2011).
3.1.4 Cyanide Leaching
Cyanide leaching is often the preferred option to other methods because of the high recovery delivery
at a cheaper cost. Recovery of precious metals like gold (Au) and silver (Ag) have been successfully
achieved from ores, concentrates and e-waste using cyanide leaching. Obtaining gold from cyanidation
is an electrochemical process where an anodic reaction results in gold cyanide formation from the
dissolution of gold in an alkaline cyanide solution while the cathodic reaction involves the reduction of
oxygen (Akcil et al., 2015). Montero et al. (2012) conducted experimentation on direct cyanide leaching
of PCBs and observed 77% of copper dissolving simultaneously with gold and silver but at lower levels
of 48% and 52% respectively. Quinet et al., (2005) reported recovering of metals from PCBs using three
leaching solutions namely; oxidative sulfuric acid (dissolves copper and part of silver), oxidative
chloride (dissolves palladium and copper), and cyanide (dissolves gold, silver and palladium and any
copper left). The results revealed that 99% palladium, 95% gold and 93% silver were recovered from
the cyanide solution through absorption on activated carbon. The major drawback is the toxic nature of
cyanide effluent which when left untreated or reclaimed is harmful to the environment. The above-
stated drawback of cyanide use has led to the development of non-cyanide leaching methods where
non-toxic lixiviants such as aqua regia, iodine, thiourea and thiosulphate are utilised for valuable metal
recovery (Akcil et al., 2015).
3.1.5 Non-Cyanide leaching using Thiosulphate and Thiourea
Thiosulphate leaching is a non-cyanide, nontoxic, environmentally friendly and economical form of

leaching (Akcil et al., 2015). This type of leaching must be done in the presence of ammonia to ensure
stabilisation of copper and other metals that facilitate the rapid decomposition of thiosulphate (Marsden
and House, 2006). Therefore, for the recovery of gold from PCB, a two-stage approach of pre-leaching
to remove copper followed by leaching with thiosulphate lixiviant to remove gold is recommended.
Ficeriova et al. (2011) used ammonium thiosulphate as leaching lixiviant to recover 98% of gold (Au)
and 93% of silver (Ag). Another non-cyanide leachant that has been used to recover gold and silver
successfully is thiourea. Leaching is conducted in the presence of an acidic medium and ferric ions for
optimal metal recovery. Using thiourea leaching when e-waste of average particle size 154 µm was
used resulted in recoveries of 90% (Au) and 50% (Ag) while using PCBs of average particle size 0.84
mm resulted in recoveries of 100% (Au) and 100% (Ag) (Li et al., 2012).
3.1.6 Biometallurgy
Biotechnology is receiving a lot of attention because of the capability of microbes to selectively bind
metallic ions at the surface of the cell and uses a protocol that is environmentally prudent and
162
economically sound with regards to operational cost and energy consumption (Cui and Zhang, 2008;
Tuncuk et al., 2012).
3.1.7 Bioleaching
Bioleaching is an abiotic or chemical dissolution process where metallic solubilization is carried out by
protons as a result of bio-oxidation and leaching. It is primarily used for the recovery of precious metals
from e-waste using micro-organisms and products of their metabolism (Brandl et al., 2008). The
microorganisms often utilised for bioleaching include; Chemolithoautotrophs bacteria (e.g.,
Acidithiobacillus ferrooxidans and Acidithiobacillus thiooxidans), Thermophiles (e.g., Sulfobacillus
thermosulfidooxidans and Bacillus stearothermophilus and Metallosphera sedula), and heterotrophic
fungi (e.g., Aspergillus niger and Penicillium Simplicissimum and Cyanobacterium violaceum) (Brandl
et al., 2008; Ilyas et al., 2010; Pradhan and Kumar, 2012). Pradhan and Kumar (2012) recovered metals
from e-waste using both single (Chromobacterium violaceum) and mixed cultures (Chromobacterium
violaceum and Pseudomonas aeruginosa) of cyanogenic bacterial strains for bioleaching. Results
revealed recoveries of Cu (79%), Au (69%), Zn (46%), Fe (9%) and Ag (7%) when single cultures of
Chromobacterium violaceum was used while a higher yield of Cu (83%), Au (73%), Zn (49%), Fe
(13%), and Ag (8%) were observed when mixed cultures was used. The diverse and complex nature of
e-waste provides conditions that facilitate the growth media of the microorganisms which can initiate
secondary reactions that can negatively influence (poor metal yields and slow leaching rates) the
solubilization of metals through absorption of metal, passivation and precipitation (Sasaki, 2011).
4. Discussion
E-mining has excellent benefits, however, only 20% of the gold that is recyclable from e-waste is
retrieved as most of the metal is lost to inefficiencies within each step of the recycling process. The
most losses occur during the collection, dismantling and pre-processing steps. The weakest link within
the e-mining process is the collection stage which can be organised efficiently by governmental
agencies to minimise gold-bearing fraction losses (Akcil et al., 2015). The principal economic
motivation for e-mining is the recovery of precious metals like gold, hence innovative methods that
seek to minimise loss of these metals are a necessity.
Informal recycling which involves open burning introduces heavy metals, plastics, toxic compounds
and gases into the soil which is harmful to the environment, water bodies, animals and humans. The
high toxic levels in the soil at Agbogbloshie brings to fore the need for urgent adoption of measures in
the form of enforcement and implementation of e-waste legislation and policies by the mandated state
institutions and the introduction of tax incentives for investors within the recycling industry. A long-
term e-waste management framework and infrastructure that ensures sustainability and establishes a
holistic recycling system to eliminate or minimise open burning and landfill disposal is recommended.
E-mining has the potential of leading the crusade for reducing the exploitation of finite metal resources
through traditional mining and hence ensuring the conservation of primary metal resources. E-mining
or Urban mining will reduce the amount of waste generated from mining and processing of ores while
minimising existing volumes and newly imported e-waste. It is economically rewarding because, for
every selected volume, precious metals, ferrous and non-ferrous metals can be recovered which is
different from traditional mining which is metal specific. The devastation to forests and lands due to
mining activities will be minimised while pollution caused by e-waste to the environment from heavy
163
metals, plastics and toxic solvents and gases released during landfilling or open air incineration will be
minimised.
5. Conclusion
The non-biodegradable and environmentally harmful characteristic of landfill disposal and informal
recycling of e-waste presents a unique opportunity for the development of innovative and economically
efficient processes to deal with this problem. The approach recommended in this study is e-mining
which does not only solve the environmental issues but provides a greener alternative for mining
investors. The financial and environmental motivations for e-mining are presented in this review. The
techniques for metal recovery from e-wastes were Pyrometallurgical and hydrometallurgical and
biometallurgical routes. The effects of weak or non-existent e-waste management policies, legislation
and infrastructure in many African countries is contributing to e-waste dumping sites like the
Agbogbloshie site. The potential effects of improper recycling and disposal techniques can result in e-
wastes introducing toxic substances like dioxins into the soil, atmosphere and water bodies which are
detrimental to plants, wildlife and humans
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167
DII-2017-045
Lightning Protection and Local Earthing Systems of

Weighbridges Infrastructure: A Case Study of Kafue
Weighbridge
Sebastian Namukolo1, Christopher Kapasa2, Douglas Tutu3, Mundia Muya4
Abstract
This paper discusses the causes of increased failure rate of modern instrumentation due to lightning
effects on various weighbridges of road network infrastructure in Zambia, and describes steps taken by
the Department of Electrical and Electronics Engineering of the University of Zambia (UNZA), in
particular for the Kafue Weighbridge, to address this problem. The increased failure rate is aggravated
by high transistor integration of semiconductor ICs, when this miniaturised low power equipment
fabricated from these new technologies is installed and operated in overly electrically disturbed
environment without appropriate power conditioning, lightning and surge protection. In Zambia,
lightning effects cause most such damages especially during the rainy season. Preliminary
investigations and studies carried out on the Road Development Agency (RDA) road network weigh
bridges instrumentation installations of Kazungula, Livingstone, and Kapirimposhi revealed a total lack
of proper lightning and surge equipment protection. Utilising the findings of study, the department
designed and installed local earthing and lightning protection systems (LPS), guided by appropriate
installation standards, as a first measure of protection at the new Kafue Weighbridge which is located
about fifty kilometres (50) from Lusaka. A peculiar noteworthy aspect of importance of this LPS, that
resulted in very low earth resistance value, was the bonding of the bonded local and lightning earth
termination system to the nearby massive buried metallic weighbridge platform foundation. Low earth
resistance value is a significant requirement for lightning, surge protection and electrical installations
in general.
Keywords: effective earthing, instrumentation, lightning protection system, road weigh bridge
16
1. Introduction
Lightning induced damage of modern equipment has worldwide been increasing steadily in the past
thirty years (DEHN+SOHNE, 2016). The adverse effect being due to reduced transistor dielectric
strength as a result of high transistor integration of electronic semiconductor circuitry (ICs). The high
capacity and fast miniaturised equipment fabricated from these technologies that require low power to
1Lecturer; Department of Electrical and Electronic Engineering, University of Zambia, Box 32379 Lusaka;
[email protected]
2Acting Director, Commercial andTechnical Services Department, Road Development Agency, Box 50003, Lusaka, Zambia
[email protected]
3Manager, Operations-South, Axle Load control, Commercial and Technical Services Department, Road Development
Agency, Box 50003, Lusaka, Zambia [email protected]

4Professor; Department of Civil and Environmental Engineering, University of Zambia, Box 32379 Lusaka; Zambia
[email protected]
168
operate are easier to damage when installed in overly disturbed electrical environment ( FIPS 1993).
Advances in material semiconductor technology has been able to integrate over a billion transistors in
a single IC package, that is interconnected by thousands of wires which can fit in the width of a human
hair (DMT Channel 2016).
Weigh- bridge operations in Zambia are heavily dependent on such measurement equipment, computers
and other Information and Communications Technology (ICT) instrumentation that include switches,
servers, telephone and security systems. The RDA weigh-bridge ICT system is networked in such a
way that instrumentation is in constant communications with the headquarters and with each other. In
recent years, equipment damage on these weighbridges has been increasing especially during the rainy
season as a result of lightning effects. This problem has resulted in costly repairs, equipment
replacement and especially prolonged operational downtime.
Studies conducted at Kazungula, Livingstone and Kapirimposhi weighbridges in Zambia revealed lack
of proper installation and inadequate equipment lightning and surge protection.
To resolve this problem, elaborate schemes of power conditioning earthing and lightning protection,
taking in account applicable international installation standards at all points need be carefully
implemented (DEHN+SOHNE, 2016). For the new Kafue Weighbridge, LPS systems for the two
houses were designed and installed after taking in account the resistivity measurements, risk factors and
lightning density of the site.
Given the fact that the other terminal of a direct lightning strike is the earth, it is a requirement that earth
termination system of a robust LPS must be as low as possible. To obtain low resistance values, the
area of contact of the LPS earth termination with the earth must be big, and of good soil conductivity.
As the buried weighbridge metal platform makes contact with the soil over a large area, it was perceived
that bonding of the installed earth termination systems of the local, utility neutral and the LPS to the
nearby weighing platform metal would result in low earthing resistance. When this was implemented,
a very low earthing resistance was achieved, an important requirement for a robust and effective LPS.
2. Methodology
2.1 RDA mandate in Zambia
The RDA is a statutory body mandated to coordinate national road construction development programs
and maintenance of the road infrastructure in Zambia and interspaced at different strategic points along
the major highways are weighbridges designed to weigh, and regulate local and international heavy
duty vehicles. The weighbridges in particular fall under the Axle Load Control Unit (ALCU) of the
RDA, charged with the responsibility of minimising the negative impact of overloading on the road
network and bridges. Road network being critically important to economic development of any country,
especially to a land linked country like Zambia which is bordered by eight countries, all of them
requiring to transit through it, properly regulated usage of roads and bridges translates directly in road
maintenance savings that would be channelled to other governmental sectors like health and education
(Kapasa et al., 2016).
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2.2 Equipment failure on RDA weighbridges
Table 1 is a list of recorded equipment failure on the RDA weigh bridge infrastructure, in the period
from 2011 to 2013.The damages occurred over a wide area ranging from Solwezi in the North-Western
province, Livingstone and Kazungula in the Southern Province and Mpika in the Northern Province.
The affected equipment were mainly ICT hardware comprising computers, routers, switches, servers,
traffic lights and display boards. (Kapasa, et al., 2016).
The list of affected equipment all fall in the category of modern equipment fabricated from highly
integrated semiconductor ICs and in all cases cause of damage was attributed to lightning effects (Table
1). Applied interventions by RDA indicate replacement of all damaged equipment in addition to LPS
system installation to avert further damage.
Table 1: List of faults at various RDA weighbridge sites due to lightning effects
Weighbridge Station Date Damaged Equipment Possible cause Intervention
Solwezi 12/12/2012 JagXtreme indicator, Router, Lightning All parts were replaced
Ethernet switch, Server, two and lightning protection
computers, four traffic lights was installed
and two display boards
Kazungula 01/11/2013 JagXtreme, two traffic lights, Lightning All parts were replaced
one display and two computers and lightning protection
was installed
Livingstone 01/02/2012 JagXtreme, four traffic lights, Lightning All parts were replaced
two displays, Router, ethernet and lightning protection
switch and two computers was installed
Mpika 01/12/2011 JagXtreme, four traffic lights, Lightning All parts were replaced
two displays and two computers and lightning protection
was installed
Source: (Kapasa et al., 2016)
2.3 Effects of advances in semiconductor technology
Enumeration of the obvious observed and measurable causes of equipment failure is done, as a narrative
to provide background of the effects advances in semiconductor technology has on equipment response
to powerline disturbances from various sources in general. Prior to the era of automation, control and
ICT applications, weigh bridge operations were mainly performed by electro-mechanical systems and
then, damages were rare, hardware being mainly electro mechanical with high dielectric strength.
Transistors used in electromechanical systems were then discrete, making this kind of equipment more
resilient to powerline disturbance that would damage modern electronic systems. Vulnerability of
modern equipment to poor power quality caused by advances in semiconductor technologies that have
managed to pack over a billion transistors in a single IC with thousands of interconnections that fit in
the width of human hair has been documented. Assemblies of small but complex networked equipment
are the result. Lack of understanding of this in many African developing countries has led to inadequate
equipment protection and resultant increased equipment damages, costly equipment replacement and
prolonged downtime.
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2.4 What are power line disturbances?
Variations of voltage from the nominal value that exceed the minimum or maximum rated values on
supply power lines are power line disturbances. Similar disturbances can also occur on lines that carry
information to equipment like networked computers, transducer sensors (load cell as applied to RDA
weighbridge instrumentation) and antenna cables. Figure1 shows some of powerline disturbances on a
phase line from nominal voltage.
Figure 1: An example of “powerline disturbance” on a power line (IAEA/AL/091, 1991)
2.5 Generation of powerline disturbances
Load switching activities; electrostatic discharges; and lightning effects are main causes of disturbances
that directly or indirectly interact with electrical grid networks and information-bearing lines (ICTs).
Components that form electrical systems are connected by transmission conductors that have distributed
resistance, capacitance and inductance. The system network response to different types of excitation
(disturbances), as alluded to above, may generate different other forms of disturbance that permeate the
grid. While switching activity is confined to the power source and load interaction, electrostatic
discharge and lightning effects are externally injected into the system.
Sudden changes in voltage and currents of utility conductors give rise to current and voltage spikes that
can be damaging to modern equipment. The explanation of generated damaging voltage and current
spikes are derived from the capacitive and inductive current and voltage relationships of , 𝑽𝒍 =
𝑳 𝒅𝒊⁄𝒅𝒕and 𝒊𝒄 = 𝑪 𝒅𝒗⁄𝒅𝒕with stored energies given by 𝟎. 𝟓𝑳 × 𝑰𝟐 and 𝟎. 𝟓𝑪 × 𝑼𝟐 . When released
into interconnected resistive based equipment load, this extra energy can result in the destruction of the
hardware (Schimanski, 1991)
171
2.6 What is lightning protection system?
Schemes employed to intercept direct lightning strike and convey the current to earth in an orderly way
without affecting contents and persons in the building is Lightning Protection System (LPS). Figure 2
is a schematic diagram of an LPS comprising air termination, down conductor and earth termination.
Air termination
Down conductor
Earth termination
Figure 2: Lightning protection system illustration
2.7 Lightning induced damages
Direct and indirect lightning effects damage civil structures and instrumentation. Instrumentation
damage in particular occurs when over current and voltage are induced in equipment connected cables,
and coupling lightning current to conductors by capacitive, inductive or galvanic means. Capacitive and
inductive coupling is by electrostatic and magnetic coupling while galvanic is by current conduction.
3. Equipment and Methods
Surveys and investigations were carried out at Kazungula, Livingstone and Kapirimposhi weighbridges
where power and data wiring, earthing and protection schemes were studied and evaluated. The survey
included discussions with relevant personnel. Kazungula weighbridge was found to have no LPS
installed while the Livingstone and Kapirimposhi weigh bridge LPS were both not correctly installed.
3.1 LPS installation at New Kafue Weighbridge

For the new Kafue Weigh Bridge, the following procedure was carried out in the installation of the LPS.
 Soil resistivity measurements, utilising Metrel earth measurement meter were obtained using
four-point soil resistivity measurement method. For both the weighing and the certification
houses. Figure 3, shows the four point Werner method. The bridge is used with four equidistance
electrodes.
172
Figure 3: Measurement of soil resistivity, Werner method
 Earthing system arrangement chosen for both LPS earth termination and local earthing systems
for both houses was earth mat type. Earth mat method was chosen as it offered large contact area
with the soil for lower earthing resistance.
 Fabricated earth mats of about 80cm by 60cm were placed in the trenches of about 1m2 by 1.5m
depth.
 A single flat copper cable served, as the earth connecting cable, down conductor and air
termination up to spike on roof top. The roof was perforated to run the conductor flash on the
wall without making sharp bends.
 The local earth mat placed in its own trench about ten meters from the LPS earth termination mat
were bonded by together by a 70mm multicore copper cable.
 Both earthing systems were in turn bonded to two weighing metallic platform structures.
Dimensions of the platforms being 5m by 5m for the abnormal load scale and 25m by 4m for the
normal load scale. The buried metallic foundation structures could not be assessed.
 Installation of the lightning and earthing systems at the certification house, located about 300m
from the weighing house, was as described above except for platform bonding.
 Final bonding of earthing systems of the two separate civil structures was done through the
armour shield of the power cable that supplied power to both houses.
Figures 4 and 5 below are schematics of the LPS installation arrangement at the weighbridge and
certification houses respectively. Please note the clear bonding between the LPS earth and local
termination to the weighing platform which insures low earth resistance in Figure 4 and the bonding
between LPS and local earthing utilising an extra earthing spike in Figure 5.
173
Figure 4: Illustration of the correct LPS arrangement for weighing civil structure at the new Kafue
facility
Figure 5: Illustration of the correct LPS arrangement for certification civil structure.
4. Results
Table 2 shows measured soils resistivity at the earth mat locations for the two houses. The soil resistivity
of the weighing house was lower than that of the certification house situated about 300m away. Table
3 shows the measured earthing resistance of both the weighing and certification houses. Table 4 shows
the calculated earthing resistances of the bonded earth mats before connection to the weigh bridge
platform, using equation1. Finally using the calculated earthing resistances of the earth mats, utilizing
the principle of resistors in parallel, the unknown platform resistance was estimated as stated in the last
line.
 
R
4 A (1),
Where R is the earthing of earth resistance in ohms

 is effective soil resistivity in ohm meters
L is total length of the buried electrode conductor and
A is total area of the buried mesh conductor
Table2. Soil resistivity measurements at the weighing and certification houses in ohm-meter Ω.m
Civil structure Weigh house Certification house
Direction Ω.m
Ω.m
East 21.2 44
West 24.0 34.5
North - -
South - 42
174
Table 3: Total measured earthing resistance, ohms Ω
Structure Measured earthing resistance Ω
Weigh house 0.17
Certification house 0.63
Table 4: Calculated earthing resistances using equation 1 and measured soil resistivity  - Ω
Civil structure Weigh house Certification house

Earth mat Ω. Ω.
Rl local earthing 14.4 25.7
Calculated earthing resistance of the buried weighing (Rw.) platform metal structure using resistance in
parallel, as was estimated to be Rw = 0.17Ω at the weigh bridge.
5. Discussion
Protection of modern equipment from power quality related problems require correct installation of
surge protection, power conditioning and lightning protection, and overall good wiring, earthing and
power source to load matching. For the New Kafue weigh bridge installed LPS, the calculated earthing
resistance for the fabricated earth mats were 14.4 ohms and 25.7 ohms for the weighing and certification
houses respectively, values considered to be high for LPS.
For the Weigh house, situated close to the two weighing platforms, with buried metallic foundation,
bonding of the LPS earth termination to the platforms gave a low measured earthing resistance of 0.17
ohms compared to the calculated earth mat value of 14.4 ohms. This is considered to be a good value
and a requirement of an effective and robust LPS. Equation 1, which states that the earthing resistance
of an earth mat is inversely proportional to the square root of surface contact area of the mat is supported.
The certification house situated about three hundred meters from the weigh house was bonded to the
low platform earthing by the utility power cable amour shielding on the meter box at the main DB. This
achieved LPS earthing resistance of 0.63 ohms, compared to 25.7ohms calculated value.
With regard to the certification house however, the bonding to remote platform will not work well when
the LPS at this house takes a direct lightning strike. The three-hundred-meter power cable will present
appreciable inductive reactance impedance (ωι) that will be seen by a high frequency lightning signal.
As a result, most of the current will flow in the local and LPS earthing systems. This results in high
potential rise at these points. To get around this problem, local earth mats contact area should be
increased in addition to installing earth ring around the civil structure to equalise the potential
differences and distribute the currents to various ring spikes.
Comprehensive protection scheme for weighbridges, like the new Kafue Weighbridge, should include
surge protection for both data and power lines and power conditioning. However, from this work, it has
been found that LPS can take advantage of the presence of the massive metallic weighing platform to
create low resistance earthing systems at all weighbridges.
175
6. Conclusion
As modern equipment continues to be vulnerable to damage caused by poor power quality and lightning
effects, protection that includes lightning, surge protection and power conditioning should be installed
on all RDA weighbridge instrumentation.
This paper has presented the design and installation of a lightning protection system as a first measure
in the protection of modern equipment installed at the new Kafue Weighbridge. Bonding of the local
earthing and LPS earth mats to the nearby weighing platform produced a low earthing resistance of 0.17
ohms and 0.63 ohms for weigh and certifications houses respectively. With the availability of
weighbridge metallic infrastructure on all RDA weighbridges, effective and robust LPS systems can be
implemented that will result in protected equipment and reduced downtime of RDA weighbridges and
indeed other weighbridges elsewhere.
References
DEHN+SOHNE- Lightning Protection Guide 3rd updated edition (2014). Available online:
https://www.dehn-international.com/en/lightning-protection- guide.pdf. [ accessed 28/04/17]
DMT Channel (2016), How will Nanotechnology change the

world?http://www.youtube.com/watch 2015. [Accessed 09/06/17]
Federal Information processing standards publication 94, Guidelines on Electrical Power for
ADP Installations. FIPS 1993. Available online: http://www.everyspec.com pdf [accessed
29/04/17]
IAEA/AL/091, (1991), protection of nuclear instruments and other laboratory equipment
Kapasa C, Tutu D, (2016), RDA, Road development Agency, The Axle Load Control Unit
RDA internal document Available on line: http://www.rda.org.zm/ pdf [ accessed 08/01/17]
Phoenix contact-The basics of surge protection, available online:

http://www.phoenixcontact.com [ accessed 28/04/17]
Schimanski, J., Protecting electrical and electronic system against surge voltages.
“Praxisgerechter Uberspannungsschutz” Der Konstrukteur, Issue 1-2/1991
Zesco (2015), Load Shedding Schedules, (available online http://www.zesco.

zdco.zm/customerCare/loadSheddingSchedule [accessed on 12/12/2016]).
176
Integrated Infrastructure
Investment, Procurement and
Finance
177
DII-2017-016
Leveraging Land Based Resources and Instruments for

financing Urban Infrastructure Development: A Case of
Kitwe City, Zambia
Daniel Apton Phiri1, Busiku Sharlyn Kaunda2

Abstract
Zambian towns are characterized by critical shortages of essential urban infrastructure resulting in
degraded physical environment, inadequate shelter, unhygienic living conditions, informality and poor
quality of life. This paper argues that although various methods of mobilising finance for infrastructure
delivery have been tried the gap is growing. The paper argues that a relatively neglected approach for
raising infrastructure finance is that of using land based financing instruments and tools. The study
aimed to investigate how municipalities in Zambia leverage land based resources to raise infrastructure
finance. Specifically, the study aimed to assess how municipalities applied land leases to deliver
infrastructure. Using the City of Kitwe as a case, the study investigated how the municipality applied
the land lease to redevelop part of the Freedom Park and Kitwe Zoo. Data was collected mainly from
secondary sources including relevant Council and Parliamentary Reports and other literature. Interviews
were conducted with planners, municipal and other urban experts. The findings revealed inadequate
capacity and technical and administrative inability of the Council to apply the land leases to redevelop
Freedom Park and Kitwe Zoo. The study concluded that the Council should have signed legally binding
contracts instead of MoUs; that a Special Purpose Vehicle should have been established and that
capacity building should have been prioritized. The study recommended a review of all land leases and
agreements with private developers and assessment of the potential of applying other land based
financing instruments be assessed to ensure a win-win situation for all. There is need to take into account
all legal requirements, cultural context, condition of land markets and the administrative and technical
capabilities of municipalities.
Keywords: infrastructure, land-based financing, land leases, urban

17
1. Introduction
Today over half of the world’s population lives in urban areas and by 2050, this figure is expected to
increase to two-thirds. Asia and Africa are urbanizing faster than other regions and will contribute a
significant share of the additional 2.5 billion people that will live in urban areas by 2050 (United
Nations, 2014). African cities experience huge urban infrastructure deficits which result in large urban
1School of Built Environment, Copperbelt University, Kitwe Zambia. Contact: +260-965-192334, E-mail:
[email protected]; [email protected]
2Lecturer; Department of Real Estate Studies; The Copperbelt University; P.O Box 21692, Kitwe; Email:
[email protected].
178
areas without access to basic services. It is estimated that over 200 million or 62% of people in Sub
Saharan Africa live in slums without adequate services and infrastructure urbanization rates result in
the continuing growth of poorly serviced areas. Zambia, with over 15 million inhabitants of whom 6.1
million or 40.5 percent live in urban areas and an urban growth rate of 4.3 percent is experiencing
critical shortages of urban infrastructure such as roads, water supply, sanitation systems, solid waste
management, drainages and electricity (CSO, 2015).
In Zambia the infrastructure deficit is manifested in severely degraded and unsightly physical
environment, acute deficiencies of basic services, housing, unhygienic living and working conditions,
pervasive and ubiquitous informality which translates in poor quality of life for the majority urban
residents. In some emerging towns urban infrastructure and social services are virtually none existent.
Unless major collective efforts to substantially increase the supply of urban infrastructure are made, the
shortages will persist and even intensify in the long term. Conventional methods such as pricing of
infrastructure (Toll Gates, fuel levy etc.), private sector investments, money borrowed from capital
markets, grants, loans, and advances or contributions from bilateral and multilateral agencies, pensions
and insurance funds, corporations and non-governmental organisations have all been applied by state
and local governments but with minimal impact due to the sheer scale of the need.
Non-conventional methods like urban land taxation, conservation of developed urban land, land
banking, land readjustment and pooling, PPPs in land development, Town Planning Schemes, and real
estate development, fees and service charges and other land based financing (LBF) instruments have
also been tried but some not the expected levels. Both conventional and non-conventional methods have
their merits and demerits which should be carefully weighed before application to a specific municipal
locality. This study postulates that one of the relatively neglected approaches for raising financing is
the use of land based resources. Land is a readily available resource which if optimally planned,
allocated and used could help municipalities generate significant revenues for infrastructure delivery.
that the lack of innovation on the part of state and local governments to leverage LBF instruments to
fill the infrastructure financing gap is a major constraint to sustainable urban infrastructure delivery.
Other constraints such as administrative ability and weak governance arrangements only exacerbate the
problem. Due to the pros and cons of adapting LBF instruments to the local context, factors such as
solid legal foundation, the history and cultural norms associated with land, the condition of land markets
and the administrative capabilities of implementing agencies must be considered.
2. Methodology and Research Design
A mixed method approach involving a case study, qualitative and quantitative analysis were used in the
study. Specifically, the City of Kitwe was used as a case to investigate how municipalities leverage land
based resources to raise infrastructure finance. The study assessed how the Council applied “land
leases” to develop the Freedom Park and Kitwe Zoo. According to (Yin, 1994:1), the case method is an
important strategy when responding to the ‘how’ and ‘when’ questions, when there is little control over
events and when the focus of the research is on contemporary phenomenon within some real-life
context. It permits “an investigation to retain the holistic and meaningful characteristics of real life
events” such as changes in the social, political and economic aspects of communities, an individual life
cycle, organisational and managerial processes (Yin, 2004:3). The method allowed data collection
which provided creative opportunities by going beyond the conventional approach (Creative Consulting
and Development Works, 2010). Qualitative research assumes a holistic perspective by providing a
contextual understanding of the complex interrelationships between causes and effects that affect
179
human behavior, allowing the use of interviews and observations (Goetz and Le Compte, 1984).
Secondary data was collected from Council and Parliamentary reports and other literature while primary
data was collected by interviewing various experts and stakeholders. A total of 50 respondents were
planned to participate in the study. A comprehensive literature review of Land Based Financing
instruments, cases and best practices was conducted.
Cities in developing countries are urbanizing rapidly at the rate of over 4 percent annual resulting in
huge demand and deficits in urban infrastructure. Land can be used as a basis for generating revenue to
provide infrastructure and urban services. When land is used in this way the process is called “Land
Based Finance” (LBF), a collective name given to a range of instruments by which local governments
expand their revenue base and generate funds that will help them realize their service delivery,
infrastructure development and maintenance goals (UN Habitat, 2016). The broader contexts within
which the LBF tool is being developed are local governance and sustainable urbanization. Muwonge
and Ebel (2014) observe that two forces that shape the world of development policy are globalization
and localization or decentralization. The responsibility for land-based revenues and fees should be
assigned to local governments, including granting some degree of autonomy in setting tax rates (ibid,
2014). The process involves both valuing land and collecting fees, which can be divided among different
levels of subnational governments (Bahl and Cyan, 2011b). Local government is often in a superior
position to administer local revenue collection, especially taxes and fees tied to land (McCluskey and
Bell, 2008).
The LBF tool is premised on the fact that urban land is a key factor of production and an important
source of financing for urban development, including infrastructure, social housing and basic services
(Walters, 2016). The preference of land based financing over the conventional methods is that LBF
provides a flexible and adaptable set of instruments with revenue generating potential which is often
have better economic, spatial and social impacts than other tools (Walters 2016). Land-based financing
has the merit that it draws private finance into the funding of urban infrastructure, in contrast to the
conventional approach (Graham, 2016). It also provides for a greater role of the private sector in
building this infrastructure. Nevertheless, for land-based financing to be effective it does require a
capable city backed by a capable state. There needs to be a sound plan for infrastructure in the city,
appropriate engineering standards, sound land use management procedures and the ability to engage
with developers to set up agreements regarding the scope, standards and timing of the infrastructure
provision and any payment requirements. These requirements vary based on the type of land-based
financing required, with the emphasis on technical factors in the case of ‘in kind’ contributions – as the
developer is building infrastructure which needs to be integrated into city-wide infrastructure systems
- and financing arrangements in the case of land leasing and development charges.
Land Based Finance instruments can be defined and classified based on relevance for common policy
goals, minimum requirements for using each instrument. The major instruments include the recurring
tax on land and, often, immovable structures on the land, betterment charges and special assessments,
Developer Exactions and Land Value Increment Taxes, Sale of Development Right, Land leases and
land sales and Transfer taxes and stamp duties (Walters, 2016). Conceptually land leases and landsales
are instruments often used by governments who own either all or substantial sections of land. When a
government makes the determination to mobilize revenue using these land assets, they frequently
consider either selling the land or leasing it. The sale of public lands converts one type of public asset
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(land) into another (cash) through the sale of the land to the private sector. This requires that the
government must have land that it considers to be no longer needed for public purposes. This is an
important judgment with very long-term consequences. Caution in reaching such a judgment is
required. There must be a market for the land while the land should be sold through a transparent
process, such as an auction, in order to ensure that full market value is obtained. If it is desirable for
policy reasons to discount the land below full market value, the discounting should be transparent and
fair. Care should be taken that all proceeds from the sale are appropriately accounted for. This is a
straightforward technique to generate one-time revenue for high-priority, long-term projects, but it
should be used with great caution and only with full transparency and public consultation.
Leasing publicly owned land through multi-year leasing agreements for either annual or one-time
revenues, or both, creates a leasehold interest that allows private entities to develop the land and
potentially sell the lease in a secondary market. The government entity must have available land and it
must have the administrative capacity to administer and regulate a leasehold system. To develop a
leasehold system, a government must identify public land appropriate for leasing and unlocking value,
develop a specialized institution to manage a leasehold system, earmark revenues for specific purposes,
and develop a compensation policy for current tenants of public land. Governments without a strong
administrative ability to manage such a system have not found success in generating meaningful
revenue. Additionally, the more control the government relinquishes in leasehold agreements typically
results in the prospect of more revenue. The most successful systems, in terms of revenue generation,
are those that are modeled closely on freehold systems.
A key assumption for LBF instruments is that the value of land is socially determined and can be
influenced by public actions (Walter, 2016). Just as value is socially determined, land markets are
socially constructed and require certain conditions to exist and thrive. If the land-based financing
instrument under consideration requires a reasonably well-functioning land market, actions might be
needed to strengthen the land market. Determining the best way forward in adopting, adapting and
implementing a land-based finance instrument requires careful consideration of the level of
administrative resources required and where those resources are located within the government. If the
administrative resources do not currently exist, they must either be developed or acquired if the overall
effort is to be successful. Graham (2016 ) argues only 20 percent of municipal revenues can be raised
from such sources and hence the need to try and test other LBF instruments such as betterment levies,
developer exactions, land banking, land pooling and re-adjustment, PPPs for land development, and
town planning schemes.
A number of cases of land-based financing in developing countries were reviewed. In Cairo, Arab
Republic of Egypt an auction of desert land for New Cities was conducted in May 2007 involving 2,100
hectares and which raised $3.12 billion to be used to reimburse costs of internal infrastructure and build
a highway connecting to Cairo Ring Road. Another project involved the private installation of “public”
infrastructure in return for developable land which started in 2005 and mobilized $1.45 billion of private
infrastructure investment plus 7% of serviced land which was turned over to government for moderate-
income housing. In Mumbai, India, an auction of a financial center land (13 hectares) was done in
January 2006, Nov. 2007 by Mumbai Metropolitan Regional Development Authority (MMRDA) which
raised $1.2 billion, to be used primarily to finance projects in Mumbai’s metropolitan transportation
plan.
In Bangalore, India, a planned sale of excess land to finance access highway to a new airport to be built
under public-private partnership was expected to raise $500+ million. The land will, however, be used
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for ministry buildings and government-built industrial space (Petersen, 2008). In April 2007 in Istanbul,
Turkey, a sale of an old municipal bus station and former administrative site raised $1.5 billion in
auction proceeds to be dedicated to capital investment budgets while in 2006 in Cape Town, South
Africa a sale of Victoria and Albert Waterfront property by Transnet, the national transportation
authority raised $1.0 billion, to be used to recapitalize Transnet and support nationwide investment in
core transport infrastructure. In Bogotá, Colombia, a betterment levy resulted in the collection of $1.0
billion between 1997 and 2007 while $1.1 billion was planned for 2008 and 2015 for financing a city
street and bridge improvement program (ibid, 2008). The cases reviewed clearly indicate how local and
state governments can leverage land based resources to raise infrastructure finance.
4. Case Study: Freedom Park and Kitwe Zoo Developments, City of

Kitwe
The City of Kitwe is the second largest urban centre in Zambia lying at an altitude of over 1295m in
the central part of the Copperbelt. Kitwe with an area of 777 square kilometres and a population of
700,000 inhabitants (CSO, 2010) is the economic hub and largest industrial centre of the Copperbelt
boasting mining and service- oriented industries. Figure 1 below illustrates the location map for Kitwe.
About 139,902 ha is gazetted as State Land which may be leased out for a fixed period of 99 years.
About 18, 330 ha of land in the city is leasehold property. Leasehold land is concentrated along the
Banks of the Kafue and Mwambashi rivers where it is used mainly for farming and grazing.
Kitwe City Council was established by the Local Government Act, Cap 281 of Laws of Zambia with
the main objective of providing public services such as refuse collection, road maintenance, policing,
street lighting, cleaning services, social and health services (KCC, 2016). Freedom Park, Stand No 7732
and so named for its former and current use for political events is located in Parklands in the Centre of
the City along Kitwe Stream while the Kitwe Zoo, Stand No. 6936, is a natural extension of Freedom
Park. Combined the two stands take up a large portion of prime urban land in Kitwe as shown in Figure
2.
Figure 1: Location and Base Map of Kitwe

Kitwe City like most Zambian cities has experienced a spike in conversions of and encroachment on
prime urban land. Areas most affected include those zoned for open spaces, parks and recreation. One
reason cited for conversions is poor maintenance and falling standards of these facilities which has
motivated both local and foreign businesses force the Council to convert all or parts of these facilities
for commercial and other uses. While this may be deemed a natural process of urban development, the
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conversion of open spaces, parks and recreation areas has translated into loss of public amenities and is
against sound urban planning principles. The sprawling Freedom Park and adjacent Kitwe Zoo have
not been spared in this gentrification process.
Figure 2: Location of Freedom Park and the former Kitwe Zoo

Bowing to pressure from developers and in its quest to bring world class developments to the City,
Kitwe City Council entered into agreements with two named developers for the commercial
development of Freedom Park and the Kitwe Zoo. In October 2001, the Council entered into a
memorandum of understanding (MoU) for the redevelopment of Kitwe Zoo Stand No 6936 into a
modern housing complex for a reported minimum value of US$2,000,000. According to the MoU, the
developer was to reimburse the Council a reported sum of US$12,000, the value of existing
developments on the said piece of land as well as pay the Council a non- refundable commitment fee
of US$10,000. The MoU was valid for a period of twelve months starting from 15th October 2001 to
15th October 2002. The developer was further requested not to reassign, sublet or part with (resale) the
land or in any other way surrender control of the land and the project without permission of the Council.
In February 2007 a second land lease was granted to another developer to develop part of the Freedom
Park Stand No. 7732. This amounted to a partial sale of public land since an element of outright
purchase of land was implied in the Memorandum of Understanding (MoU). The developer proposed
to put up a filing station, shopping mall and hotel with a minimum construction value of US$15,000,000
within a period of 36 months. The developer paid a plot premium of US$350,000 in addition to
liquidated and ascertained damages at a rate of K420 (US$100) per day for the total number of days the
project would remain incomplete beyond the stated completion period. The developer requested the
Council not to allow the development of a shopping mall within a radius of 7km from the proposed mall
at Freedom Park.
The study findings first reveal that main sources of funds for Councils are Government grants and other
revenues such as property rates, fees and levies. For example, the Kitwe City Council received K33,
611,333 in form of grants from the State while collecting revenues amounting to K120, 675,906 (GRZ,
2013. By succumbing to pressure from developers to convert or rezone the Freedom Park and Kitwe
Zoo, major recreational areas and public amenities for the City, instead of looking for alternative land,
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the Council demonstrated inability to leverage land as resource. Vacant land was readily available
especially on the outskirts of Kitwe but instead of directing the developers to such land the Council
succumbed to requests to rezone the Freedom Park and Kitwe Zoo with the consequent loss of public
amenity. Regarding the LBF instruments the Council preferred to adopt the “Land Lease model” in
which the publicly owned land was leased to two developers at different periods. It was however found
that good principles, minimum requirements and key assumptions for implementing land leases with
the two named developers were not strictly followed resulting in irregularities in agreements,
administrative and technical lapses in administering the land leases with the developers. This eventually
resulted in failure of both the developers and the Council to implement the proposed projects at Freedom
Park and Kitwe Zoo.
It was evident also that the Council did not develop a specialized institution (or Special Purpose
Vehicle) to manage the land leases but opted to manage the development process themselves. The lack
of specialized technical and land administration skills contributed to the developers taking advantage
of the situation and not meeting the condition of the agreements. The developers did not meet the legal
requirement in land leases to develop state or public land within a stipulated time of 18 months.
Although the developers initially put up a Filling Station and five high cost houses at the Freedom Park
and Kitwe Zoo respectively, arguably to meet the legal requirement of developing the land and hence
avoid repossession of the land by the Council or State, the undeveloped portions of the leased land were
eventually surrendered to the City Council who reallocated them to other developers. Further as time
went on it became clear that the developers could not manage to raise the financing to kick start the
proposed developments. This resulted in both leased lands lying idle for many months and even years
contrary to the agreed conditions of the lease agreements.
Although the City Council identified the public land appropriate for leasing and succeeded in unlocking
land value, this was only achieved amid lengthy protestations and legal actions from environmental
activists and the general public. The Council was able to successfully rationalize their actions by stating
that only a portion of Freedom Park and the disused Kitwe Zoo were leased out. The Council was also
paid compensation, though the amounts involved were deemed low compared to the actual value of the
public land. Further the Council did not have a strong administrative ability to manage the two land
leases as reflected in their failure to compel the two developers to generate adequate financing for the
projects. The fact that the agreements were merely MoUs instead of valid legally binding contracts
meant that the Council still wielded control over the leased land which made it difficult for developers
to mobilise private financing for the projects. According to Walters (2016) the most successful land
leases, in terms of revenue generation, were those that were modeled closely on freehold systems where
public land was sold to the developers.
The administrative lapses related to reported lack of or nonexistent records at the Council to show how
the developer was identified and selected (GRZ, 2013). This had potential to raise questions of lack of
transparency and uncompetitive engagement. The developers also took too long to complete the
projects, contrary to the agreements. The developers were however quick to put up some developments
– a filling station and some houses – at the Freedom Park and Kitwe Zoo to avoid repossession.
Although this attracted a surcharge from the Council and the State, it was clear the developer took
advantage of a gap in the legal requirements to protect their position. Although the developer initially
paid compensation in liquidated and ascertained damages, the developer reportedly stopped paying
ground rent which accumulated to unsustainable levels while the Council stopped claiming liquidated
and ascertained damages considering that the project was still incomplete (GRZ, 2013).
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The provision in the agreement with the Freedom Park developer which restricted development of other
shopping malls within a radius of 7 km amounted to uncompetitive behavior. It also implied that the
developer retained the right, though not legally binding, to develop within a radius of 7 km which
included the Kitwe Central Business District, Kitwe Zoo and on land up north. The Freedom Park
remained undeveloped for a lengthy period of time resulting public outcry and State pressure on the
Council to cancel the lease. It was reported that legal action was taken and the Freedom Park land
surrendered back to the Council, who in turn has leased it to another developer. Similarly, the study
found administrative and technical lapses in the manner the Kitwe Zoo land lease was administered.
The developer only built five (albeit expensive) houses as opposed to a modern housing complex and
mall as agreed. The Council requested the Commissioner of Land to repossess the land but the latter
advised the Council that the developer had actually fulfilled a legal requirement under the Lands Act
by putting up some houses. Only the undeveloped section of the Kitwe Zoo could be repossessed, which
subsequently was leased to another developer.
The study also found that the Council had failed to enter into lease agreements with various property
owners within the City. For example, between 2011 and 2013 the Council only had thirty seven (37)
leased properties on their books. Further the lack of Title Deeds for many privately and publicly held
land and properties was major impediment to Council’s ability to raise revenues. In 2013 only seventy
(70) properties had title deeds while Council have the Ministry of Lands issue title deeds were limited
by lack of funding and other factors. The Council rationalized the rezoning of Freedom Park and Kitwe
Zoo by stating that the land could be put to good use and earn the municipality additional revenues from
the subsequent land value capture. Other stakeholders including the developers argued that, like many
Parks and Recreation areas and Open Spaces, Freedom Park and the Kitwe Zoo were not well
maintained and were in a state of dereliction and so could be leased out to improve the condition. The
mines which had helped maintain these facilities had since withdrawn their support (KCC, 2003).
6. Conclusion
In conclusion, the study findings demonstrate that, with regard to LBF instruments, the value of land is
socially determined and can be influenced by public actions. This was the case in Kitwe were the public
protests and pressure from activists and the State resulted in the developers surrendering the
undeveloped portions of the leased land. Just as value was socially determined, the study also
demonstrated that the land market in the City of Kitwe was socially constructed and so, as Walter (2016)
argues, requires certain conditions, such as valid contracts and administrative and technical capacity, to
exist and thrive. Clearly in the case of Kitwe, implementation of the land leases required a reasonably
well-functioning land market. In view of what transpired actions might be needed to strengthen the land
market in the City. The study also demonstrated that determining the best way forward in adopting,
adapting and implementing a LBF instrument requires careful consideration of the level of
administrative resources required and where those resources are located within the local government.
If the administrative resources do not exist, they must either be developed or acquired if the overall
effort is to be successful. Finally, the study demonstrated the need to take into account the local
contextual factors such as a solid legal foundation, the history, values and cultural context associated
with the land being leased, the condition of land markets and the administrative capabilities of
implementing agencies when adopting LBF instruments and options.
In light of the findings, the study recommends that the KCC should review its portfolio of public and
privately held land and properties and put in place measures for effective and efficient land value
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capture an review all lease agreements and MoUs with other private developers, mine owners,
railways and statutory. It is further recommended that in future arrangements the KCC should, for
specific cases, consider outright sale of public land but only with pre-conditions for development of
social and urban infrastructure such as affordable housing, access, roads and so on to ensure a win-win
situation for all. Councils in Zambia rely mostly on recurring property taxes, transfer taxes and stamp
duties for, fees and levies for revenue collection. Finally, there is an overriding need to develop the
technical and administrative capacity of the KCC and other municipalities to better understand, apply
and leverage the various LBF instruments to deliver urban infrastructure and basic services on a
sustainable basis.
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DII-2017-019
Unpacking the impact of public transport infrastructure
investments on transformations in the City of
Johannesburg
Trynos Gumbo1, Mangakane Retsebile Moswane2
Abstract
In the age of smart cities and globalisation, smart mobility is not only a vital component in the physical
functionality of cities but also an economic and social performance of the modern urban centres. Urban
transformations that are taking place in South African cities exhibit a strong shift towards the adoption
of smart cities concepts that entail smart governance, mobility, economy, living, environment and
people; hence prioritizing the economy and the society’s needs. There have been massive innovative
public transport systems developments in the City of Johannesburg since 2010, which are the rapid
Gautrain, Gaubus and Rea Vaya bus as a way of complimenting the already existing Putco bus, Metro
bus and Metro rail services. Paradoxically, the impact of such innovations particularly on socio-
economic development of the City of Johannesburg has not been highlighted conclusively in existing
literature. Consequently, this paper seeks to explore and highlight socio-economic benefits of
innovative public transportation systems in communities focusing on the City of Johannesburg. To
comprehend this, the study used a mixed approach of qualitative, quantitative and spatial investigation.
Questionnaires, key informant interviews, maps from ArcGIS software, as well as crowd sourced data
from Echo-Echo software were applied. This helped to reveal the socio-economic impact,
developmental trends as well as perceptions of commuters using the innovative public transit systems.
Research results revealed that innovative public transit systems contribute to socio-economic benefits
however, a lot still needs to be done to improve their impacts on ordinary citizens and residents in the
City of Johannesburg. Pursuant to that, the paper ends by recommending that there is need for strong
linkages between innovative and sustainable public transportation development and socio-economic
imperatives within communities and societies.
Keywords: City of Johannesburg, economic development, public transport systems, smart cities
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1HOD; Town and Regional Planning; University of Johannesburg; P.O. Box 17011, Doornfontein, 2028; [email protected].
2Master’s student; Operations Management; University of Johannesburg; P.O. Box 17011, Doornfontein, 2028;
[email protected].
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1. Introduction
The world is moving towards a paradigm shift of the smart cities concept in both developing and
developed countries, consequently promoting sustainable development that conserves the environment
and caters for socio-economic sustenance. At the heart of this concept is smart mobility which is not
only a vital component in the physical functionality of cities but also economic and social performance
of the modern urban centres (Peal and Goetz, 2015; Zheng and Peeta, 2015). Recently there has been
an increasing demand for innovative public transportation in developing countries across the world,
South Africa being one of which is committed to developing these integrated and innovative public
transportation in its cities (Cardinale et al., 2014; Ryser, 2014; Schwaberger, 2014). Urban
transformations that are taking place in South African cities reveal a strong shift towards the adoption
of smart cities concepts that entail smart governance, mobility, economy, living, environment and
people hence it should cater for the economy and the society’s needs (Giffinger et al., 2007; Chen et
al., 2014; Wendt et al., 2014).
Gauteng Province in South Africa took the path towards developing smart mobility in three of its
metropolitan cities, that is, the City of Johannesburg Metropolitan Municipality, Tshwane Metropolitan
Municipality and Ekurhuleni Metropolitan Municipality respectively. There have been massive
innovative public transport systems developments in the City of Johannesburg since 2010, that among
others include the Gautrain, Gaubus and Rea Vaya bus services as a way of improving the already
existing Putco bus, Metro bus and Metro rail services (COJ, 2015; SITPF, 2013; Kolluru and Jain,
2015). However, the impact of such innovations particularly on socio-economic development of
Johannesburg communities has not been highlighted conclusively in existing literature hence there is
need to further explore and highlight socio-economic benefits of innovative public transportation
systems in the City.
This paper explores the impact of innovative public transport systems on socio-economic
transformations in the City of Johannesburg, this is to search for the relationship between public
transport provision and its impact on socio-economic development as well as other issues surrounding
urban public transport which are central to the establishment of strategies aimed at improving
underprivileged sectors of the City. As a final point, the paper provides evidence of a problem that is
vastly affecting social groups in the City of Johannesburg as a result of social exclusion exaggerated by
inefficient public transport services. Section 2 of this article discusses a theoretical synopsis on literature
about public transport and their impacts on socio economic development as well as unpacking the
relationship between accessibility, socio-economic exclusion and public transport in the City of
Johannesburg. Section 3 discusses the case study focused on investigating the impact of public transport
on socio-economic development in the City of Johannesburg. Section 4 covers the methodology that
was used in this study. Section 5 discusses results of the public transport impact of socio-economic
development in the City of Johannesburg and lastly Section 6 offer the conclusion and discussions.
2. Conceptual Framework
The world is a global village that is continuously evolving into a Smart village where countries facilitate
development in a sustainable and smart way were socio-economic development is highly prioritized
(Ferris et al, 2010; Kamga et al, 2013; Tang and Thakuriah, 2012). At the centre of the smart cities
concept is the smart mobility in relationship with smart people and smart governance (see figure 1).
Over the years through industrial revolution transportation remains one of the most important
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innovation and service rendering people’s needs economically and socially (Transportation Research
Board, 2009), moreover increase in demand perpetuate the need for transport provision hence the need
to increase and improve public transportation is important. Moreover, the increase in transportation is
a result of the ever increasing population in many countries worldwide and studies show that this will
be the case in years to come if a solution is not found to solve this problem, therefore the continuing
increase in demand encourages the need for development of innovative public transport in support of
existing ones (Transportation Research Board, 2009, Tillner, 2014; Zhukova and Smirnova, 2014).
Innovative public transport service providers have been successful in implementing rapid bus and rail
transit as well as improving existing modes of public rail and road transport hence attracting users to
use public transport to enhance its full functionality for the betterment of the economic, social and
environmental benefits of the country and its citizens (Hadasa et al., 2014; Hino et al., 2011; Ibarra-
Rojas et al., 2015).
Figure 1: Smart city concept. (Source: Cohen, 2015)
Central to these efforts is a focus on reorienting current public policies that promote costly and
destructive transportation and land use development patterns towards more economically efficient,
equitable, and environmentally sound outcomes that strengthen communities and enhance the quality
of life (Agostino et al., 2014). Sustainable transportation and smart growth are linked, as a result smarter
growth patterns will be difficult to achieve without more sustainable transportation approaches;
significant transportation improvements will be difficult to achieve without more sensible development
practices (Tuominen and Ahlqvist, 2010). The City of Johannesburg had since adopted and
implemented Transit Oriented Development (TOD) to bring its communities together and sustainably
develop corridors (NDP, 2012). TOD is a well-known worldwide urban phenomenon linking transport
infrastructure to property development in a sustainable way. It is evident that TOD principles, developed
carefully within a South African context could help urbanize South Africa in a rapid, sustainable way.
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Sustainable transportation systems are meant to transport individuals and groups of people whilst
ensuring to stimulate social inclusion hand-in-hand with development (Gudmundsson, 2004; Miranda
and Rodrigues da Silva, 2012; Cobbinah, Black and Thwaites, 2011; Cobbinah, Erdiaw-Kwasie and
Amoateng, 2015). Furthermore, many cities in many countries around the world have implemented this
concept to legislature, strategic plans, policies and other frameworks that will help facilitate smart
development and TOD.
3. Case Study: City of Johannesburg
The Gautrain, Rea Vaya, Putco, Metrorail and Metrobus are located in the Johannesburg Metropolitan
City of Gauteng province, South Africa (Figure 2). Johannesburg Metropolitan City is the most
competitive economic hub of the country and the fastest growing city in terms of the economy,
development and population. It is home to both the wealthy and poor, residents and refugees, global
corporations and emerging enterprises with diverse ethnic groups (COJ, 2013).
Figure 2: City of Johannesburg. (Source: Own source)
Johannesburg has the largest population in South Africa with an estimated population of 4.4 million
(Stats SA, 2016). The Gautrain, Putco and Metrorail operates in three metropolitan cities in Gauteng
province namely City of Johannesburg, City of Pretoria and Ekurhuleni metropolitan municipality,
however Metrorail alone operates 4 provinces (Gauteng, Western Cape, KwaZulu-Natal, Eastern Cape)
in South Africa. These three areas form a city region which is the economic heartland of South Africa
and are the only cities in South Africa having a rapid transit train. The Rea Vaya and Metrobus only
operate under the jurisdiction of the Johannesburg Metropolitan City across many communities and city
centres.
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4. Methodology
Echo-Echo software was used to mine crowd sourced data from social media platforms such as Twitter
and Facebook. The data revealed commuters locations that is used to show the infiltration of these
public transport platforms within the City of Johannesburg. The results assisted in showing spatial
integration, socio-economic transformations and presence of public transport within the City. Travel
behaviours helped to reveal the socio-economic effects of public transport in the City of Johannesburg.
Echo-Echo software was used to conduct the analysis of data collected from social media. It also
assisted with qualitative and quantitative understanding of language usage, the psychological drivers
behind conversations, language and linguistic insight, advanced word clouds, topics, category analysis
and crucial data in determining socio-economic transformations in the City (Oliveira and Welch 2013).
5. Results and Discussions
This analysis counts the number of times the different rail and bus services have been mentioned. The
graph in Figure 3 indicates that social media feeds have been dominated by the mention counts of the
more than other public transportation. The mention count of the Gautrain reached its peak in the year
2014 with 80 000 feeds made within that year. Second to this is the Gautrain bus with a volume of 5
000 social media feeds followed by Putco bus (1000 social media feeds in 2014), Metrobus (1000 social
media feeds in 2014) and Rea Vaya bus (0 social media feeds from 2010 to 2015) (see Figure 3). The
reason for this trend could be that the use of social media has reached its peak in the last two years in
South Africa, especially with the Gautrain using social media platform to acquire feedback from their
commuters and to convey any crucial matters to their commuters.
Figure 3: Mention Count (Source: Echo-Echo, 2015)
Figure 4 above shows the percentages of commuters who have used the train and different bus services
to travel to areas of leisure such as malls, zoo’s, stadiums etc. The graph indicates that in the year 2011,
there was 3.5% of Putco commuters using the bus services either to travel to areas of leisure or
promotions of leisure areas which were in proximity to the Putco stations. In the very same year, the
Gaubus, Gautrain, Metrobus were trailing behind with only 1% of the commuters using these services
for leisure (see Figure 4). However, Rea Vaya did not have any mentions until 2013 when there was a
gradual increase in the percentage of commuters who have mentioned areas of leisure and the Rea Vaya
192
bus. Both the Gautrain and Gaubus mention counts reduced from the year 2010 to 2015. This could
have been due to the price hikes of the rapid rail and bus services. The gradual use of urban public
transport for leisure proves that urban public transport investments have transformed the Gauteng
Province through improvement in social cohesion by participating in social media, supporting social
events and spatially invested in integrating areas of leisure with micro level communities in the
province. These investments have also contributed to the development of Transit Oriented Development
(TOD) such as mixed land uses along urban public transport routes that connect economic nodes. The
development of mixed land uses have contributed to urban regeneration in cities across the province.
Figure 4: Leisure (Source: Echo-Echo, 2015)
Figure 5 shows the percentage of commuters who have mentioned the word ‘home’ in their Facebook
posts or tweets, making reference to the rail and different bus services. From the graph, one can tell that
in 2010 there was a very large percentage of Metrobus commuters who made social media comments
using the word ‘home’. This was either through advertising accommodations which were close to the
Metrobus stations or people simply talking about their experiences using the Metrobus when they travel
from their homes to different locations. The graphs show that other public transport services such as
Gaubus, Gautrain and Rea Vaya had reached the peak in 2014 suggesting that many people used these
public transport to travel home either interchanging from one of these modes to another hence showing
integration of public transport systems in the Johannesburg Metropolitan city. As a result, urban public
transport investments in the Gauteng Province contribute to spatial integration between micro level
communities, the metropolitan cities and other economic nodes. TOD and the expansion of urban public
transport infrastructure to small communities have promoted economic opportunities such as malls to
open in micro level communities hence increasing employment and improving socio-economic state of
many small communities.
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Figure 5: Home (Source: Echo-Echo, 2015)
The graph (see figure 6) above shows percentage of people who use the different bus services to
commute to work. The graph indicates that the Rea Vaya bus services had a stagnant percentage of
commuters using the bus services. However, the percentage of commuters who use the bus service to
get to work increased drastically from 2013 onwards. The low percentages of the Rea Vaya commuters
between the years 2010 to late 2012, could be a result of having the bus service being relatively new
and people not being familiar with it. The Metrobus during the 2010 to 2011 had a high percentage
(4.4%) of people using the bus service to commute to work. This percentage however, had a sharp drop
between the years 2011 to 2012. Thereafter, the percentages increased and then decreased from the year
2012 to 2014. From 2014 to 2015, there was a constant number of commuters using this bus services.
This fluctuation is a result of the bus fare hikes because according to the graph, the years 2013 and 2014
reveal a decrease in the number of commuters who use the Metrobus to commute to work.
Simultaneously, there was an increase in the number of commuters who used the Rea Vaya bus services
to get travel to work. Both the Gaubus and Gautrain have fluctuation between 3% and 4% as compared
to other modes meaning their commuters have managed to use the Gautrain services for work purposes
constantly. Consequently, this shows that urban public transport in Gauteng province is invested
towards achieving employee trip reduction from micro-level communities into metropolitan cities and
other micro city centres by improving spatial integration and allowing easy access in Gauteng Province.
Figure 6: Work (Source: Echo-Echo, 2015)
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Figure 7 is a snapshot of City of Johannesburg map with an indication of the number of tweets and
Facebook posts which have been made by commuters using the train and the different bus services. The
different coloured circles represent different number of tweets and Facebook posts and they are as
follows:
 Blue icon = 1 tweet

 Blue = less than 10 tweets
 Yellow = less than 100 tweets
 Red = less than 1000 tweets
 Pink = less than 10 000 tweets
 Purple = less than 100 000 tweets
From figure 7, it can be deduced that there is a lot of social media activity taking place in the Gauteng
province, specifically between the Johannesburg and Pretoria region. The map indicates that in
Johannesburg there is an accumulated 14 104 tweets and Facebook posts which have been made on the
basis of trending topics centred on the Gautrain, Gaubus, Metrobus, Rea Vaya and Putco. This could be
a result of the integration of public transport in the Central Business District (CBD). Therefore, more
of the tweets regarding the topics on the Gautrain, Gaubus, Metrobus, Rea Vaya and Putco are from
their commuters and some from residents.
Figure 7: Location analyses (Source: Echo-Echo, 2015)
Figures 7, 8 and 9 further indicate that not a lot of social media activities taking place on the East and
West of Johannesburg exists, as there are less tweets and Facebook posts being made in those locations.
However, the map also indicates areas which have the second highest number of tweets and Facebook
posts. These areas are the neighbouring cities such Pretoria and Kempton Park. The Gautrain, Gaubus,
and Rea Vaya does not operate in some of Gauteng’s cities such as Springs and Krugersdorp. However
this high number indicates that the train and bus service was trending on the social media even in the
area where it is not operating. This could be due to consumers complaining and bringing forth their
desires of having the Gautrain, Gaubus, and Rea Vaya operating in their respective cities.
195
Figure 8: Rea Vaya Sensitivity analysis Figure 9: Gautrain Sensitivity analysis
(Source: Own source)
6. Conclusion
This study contributes toward unpacking the impact of innovative public transport systems on socio-
economic transformations in Gauteng province, in conclusion that innovative public transport
investments in Gauteng does contribute to socio-economic transformations. However, to a moderate
extent the lack of accessibility to multiple urban public transport systems and rapid transit in
disadvantaged areas away from city centers has proven that innovative public transport still needs to
expand further from city centres, hence socio-economic needs of people far from urban centres will
ultimately be met. The solution to addressing these gaps are to include the currently marginalized areas
that do not have full access to these modes of urban public transport in policies to ensure they are
included in priority expansions and for future mobility development. Social media has improved
perceptions of the public about urban public transport and has created a platform for commuters to
communicate directly with service providers. However there still remains an economic gap as not
everyone who uses urban public transport use social media at all or as a result of restricted access
because of unaffordability of data for the social media services. Traffic demand management has been
improved through rapid rail and bus transit as they have their own dedicated lanes that do not suffer the
consequences of traffic congestion. Socio-economic challenges such as safety, convenience, reliability,
affordability and accessibility of urban public transport systems have improved over the years, the
multiplicity of modes and investments in multi modal integration has improved urban public transport
standards.
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7. Limitation and Further Research
This research has explored the impact of innovative public transport systems on socio-economic
transformations in the City of Johannesburg. Future studies could expand the scope of the study through
increasing data collection tools to collect more data in the study area and beyond, as well as to allow
for more factors to be identified and analysed. The recommendations herein are approaches primarily
aimed at stimulating public transportation usage by commuters in Johannesburg. Future studies can also
factor in the viewpoints of other key stakeholders, such as city planners and public transportation
agencies.
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198
DII-2017-063
Leveraging Public-Private Partnership as an Effective
Tool for Infrastructural Development in Emerging
Economies: An Integrative Review
Chukwuma Nnaji1, Chioma Okoro2
Abstract
Approximately 1.6 billion, 22% of the world’s population are considered to be living in extreme
poverty. Of these, roughly 390 million are located in sub-Saharan Africa. To eradicate extreme poverty,
it is imperative that investment in infrastructural development – such as heavy civil projects - is
encouraged in countries hit the hardest by poverty as infrastructural development plays a key role in
reducing extreme poverty and driving sustainable economic growth. Although investment in
infrastructure has increased significantly over the past two decades, concern abounds regarding the
performance of some heavy civil projects. Several factors such as ineffective procurement processes
have been identified as factors that lead to poor project performance in several countries. Moving to
more innovative procurement and financing practices such as Public-Private Partnership (PPP) could
spur economic growth. Due to its unique integrative risk sharing platform, PPP is considered an
effective project delivery strategy that could drive infrastructural development in emerging economies.
Nevertheless, barriers to the wide adoption of PPP on capital intensive heavy civil projects exist. No
prior study succinctly summarized the overriding benefits of implementing PPP on such projects,
neither did any study identify key barriers and drivers. The present study fills this gap by adopting an
integrative review process to synthesise past studies on the implementation of PPP on heavy civil
infrastructural projects in developing countries. Findings from the present study indicate that benefits
accrued to PPP and pertinent to developing countries include timely delivery of a project, improved
budgetary certainty, improved emphasis on accurate life-cycle analysis, increased innovation, etc.
Furthermore, political instability, frail project pipelines, weak legal and regulatory framework were
identified as key barriers to successful implementation of PPP while controlled privatisation, risk
transfer, increased economic diversification, enhanced investment environment were identified as key
drivers. The study recommends the development of adaptable frameworks that would improve the
future implementation of PPP in developing countries.
Keywords: developing country, heavy civil construction, infrastructural development, public-private

partnership
19
1Doctoral Candidate; School of Civil and Construction Engineering; Oregon State University; 101 Kearney Hall, Corvallis, OR
97331; [email protected]
2Doctoral Candidate; School of Civil Engineering and Built Environment; University of Johannesburg, South Africa;
[email protected]; [email protected]
199
1. Introduction
Approximately 1.6 billion, 22% of the world’s population are deprived of basic infrastructure such as
adequate transportation system, safe drinking water, shelter, sanitation facilities, etc. (Hulme 2015). Of
these, roughly 390 million are located in sub-Saharan Africa (Economic Commission for Africa 2017).
Several efforts have been made towards tackling these unwanted statistics. To eradicate extreme
poverty, it is imperative that investment in infrastructural development is encouraged. Past studies have
shown that lack of mobility is significantly linked to social disadvantages which lead to increased
poverty (Ohnmacht et al. 2009, Lucas, 2012). To reduce poverty, it is essential that investments towards
transportation related projects are increased. While clamoring for increased investment in transportation
infrastructure, it is paramount that processes are put in place to minimize cost, demand and risk
estimation, schedule, safety, uncertainties associated with executing transportation projects (Hampton,
2009; Kim, 2010; Salet et al., 2013). One way to improve the performance of infrastructural projects is
through implementing innovative and effective procurement processes (Pakkala 2002). Due to its
transparent and risk distribution capacity, public-private partnership (PPP) is identified as an effective
project delivery mechanism that could improve the delivery of infrastructural projects in emerging
economies (including developing countries) (Ministry of Foreign Affairs of the Netherlands 2013).
Regardless of the potential benefits accrued to PPP, barriers to its wide adoption on transportation
projects in developing countries exist. The objective of the present study is to first identify and
document critical success factors (CSF) required for successful implementation of PPP on
transportation projects. Next, case studies of projects successfully executed in developing countries are
evaluated. The findings from the literature review were compared to extractions from the case study to
provide contextual information that should encourage future adoption of PPP on transportation projects
in emerging economies.
1.1 Motivation
Infrastructural development such as transportation infrastructure is considered a key driver for reducing
poverty across the globe (Gannon and Liu 1997). Regardless of the increasing investment in
transportation infrastructure, the performance of transportation projects struggles to meet expectations
due to several reasons including procurement and contract management. Although procurement tools
such as PPP shows considerable promise, the implementation and diffusion of this innovative
contracting process seem slow in developing countries (MFDP 2009). Therefore, the present study
seeks to identify critical success factors under which PPP could flourish when implemented on
transportation infrastructure projects in emerging economies.
1.2 Research method
To achieve the present study objectives, the researchers combined the strengths of an integrative
literature review and case study approach. A case study is an ideal approach since the present study
includes a programme-oriented exploration where the researchers have little control over is required
(Yin 2009). These methods are considered sufficient to meet the study objective (Torraco, 2005; Osei-
Kyei and Chan 2015). A three-step approach was implemented to conduct the integrative literature
review. First, keywords relevant to the study such as public-private partnership, 3P, PPP, PFI in
conjunction with, transportation infrastructure, transportation project, transportation procurement etc.
In addition, words such as critical factors, success factors, and critical success factors were used to
200
interrogate several data bases. Specifically, Scopus was the primary data base consulted since it is
widely used in literature review studies and is considered robust (Osei-Kyei and Chan 2015).
Nevertheless, Web of Science and Google Scholar were used as secondary data bases to validate articles
found in Scopus thereby increasing the meticulousness of the integrative literature review process. Next,
the amassed articles were inspected to identify those germane to the present study. Articles identified
in phase one were included if the following criteria were met: published within the last 30 years, and
included the specified keywords in the title or abstract. Lastly, each article related to the study was
reviewed and synthesized to extract key information pertinent to the study. Following the integrative
literature review, three projects that exemplify the successful application of PPP in transportation
projects in emerging economies were identified and discussed in order to extract CSFs.
2.1 Impact of transportation infrastructure on poverty
Transportation infrastructure plays a vital role in the everyday life of individual around the world –
including those in emerging economies. Not only does transportation infrastructure improve the
livability of a people (Okoro et al. 2017), it offers an effective mechanism to reduce poverty. According
to Gannon and Liu (1997), providing transport facilities can reduce poverty by increasing economic
efficiency and enhancing opportunities. In addition, “it [transport infrastructure] enables the supply of
goods and services around the world; and allows people to interact and generate the knowledge and
solutions that foster long-term growth” (World Bank 2017). To address the spatial distribution of
transportation systems and improve the reach of disadvantaged persons, investment in transportation
infrastructure is encouraged.
2.2 Infrastructural projects financing and performance
Generally, infrastructural expenditure consumes a reasonable fraction of a country’s gross domestic

product (GDP). For instance, the US spent $416 billion (2.4% of GDP) on infrastructure in 2014 while
Australia and China on average spend about 5% and 9% of its GDP on infrastructure development
(McKinsey Global Institute 2016). This expenditure denotes the critical role infrastructure plays in most
developed countries. In order to improve global competitiveness and economic performance,
governments in emerging economies and developing countries have increased funding for
infrastructural projects (Allport 2008). In addition to government spending, a significant amount of
resources has been committed towards transportation infrastructure development from various sources.
For instance, as at 2016, the World Bank Group, through the International Development Association
(IDA) and International Bank for Reconstruction and Development (IBRD) had over 209 active projects
totaling $4.2 billion (World Bank 2017). These projects are funded with a mixture of funds from private
investors and the government.
As highlighted previously, the potential severe impact of the uncertainties surrounding the execution of
transportation projects in addition to project-specific constraints calls for concern since a failed
transportation project could have an unfavourable ripple effect on the economy. It could be argued that
the impact of a failed transportation project has a greater impact on individuals in emerging economies
given their limited access to adequate alternative means of mobility. According to Luke et al. (2017),
transportation infrastructure projects are prone to the high rate of failure due to poorly justified
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feasibility studies and poor operation management. To address these issues, an effective financing and
project procurement model such as PPP is essential.
2.3 Public-private partnerships
Although there is no universally acceptable definition for PPP, it is the generic term for a medium-to-
long-term relationship between public and private sector with the primary objective to deliver
infrastructure service to the public. PPP combines the strength of the public and private sector’s –
sharing risk across the board to those well positioned to mitigate it. PPP draws on the technical expertise
and efficiency of the private industry while relying on the regulatory framework and oversight of the
public sector (Ks et al., 2016). PPP takes a holistic approach which extends over the entire lifecycle of
a project. PPP execution process is generally delineated into four stages: planning and identification of
candidate projects; preparation; implementation and procurement; and contract management of contract
term (PPP Certification, n. d.). Sectors where PPP can be applied successfully include physical
infrastructure (roads, bridges, ports, etc), the energy sector (hydro power, rural energy, renewable
energy, etc), information and communication sector, environmental sector (water, sanitation, waste
management systems), basic services (health and education).
However, despite the contribution of PPPs in infrastructure delivery, the challenges associated with PPP
projects in developing countries cannot be ignored. This view was supported in Ernst and Young (EY),
2015), in which it was stated that despite increasing recognition of the role of PPP as a mechanism to
bridge the infrastructure gap in light of fiscal constraints, in Africa and other developing economies,
remains constrained by limited financial markets, inadequate legal and regulatory frameworks, an
absence of technical skills within government agencies, and political and national risks (Ernst and
Young (EY), 2015). In Zambia, for instance, the efficacy of adopting PPPs is marred with the legal red
tapes inherent in the PPP Act of 2009, which does not favourably provide a policy framework for risk
transfer, delineation of responsibilities and dispute resolution among parties (Ngoma et al., 2014). There
is rather emphasis on administrative procedures and involvement of multiple public agencies, which do
not augur well with decision-making among usually conflicting parties in a PPP. Consequentially, there
are inappropriate tax increases and discontinuation of concessions due to low investor confidence and
instability of government. Likewise, in Nigeria, ineffective and inefficient institutional and legal
framework poses a challenge to successful adoption and implementation of PPPs. Such challenges as
poor transparency in concessionaire selection, lack of knowledge of and experience in PPP legislation
and concession agreements, poor project preparation and lack of bankable studies, poor allocation of
risks and management, poor procurement procedures and processes management are thus evident in
PPP arrangements (Mudi et al., 2015). Governments’ demonstrable commitment to the PPP model
through consistent and transparent legislative and institutional frameworks can lower the risk of adverse
changes that can reduce investor confidence and deter participation (EY, 2015).
2.4 Application of PPP on transportation infrastructure projects
As at 2016, approximately 139 developing countries were exploring increasing private participation in
infrastructural development (World Bank Private Participation in Infrastructure Database 2016).
Nevertheless, the extensive use of PPP across developing countries as a means to plug the infrastructural
gap has not achieved the expected uptake for various reasons (Ministry of Foreign Affairs of the
Netherlands 2013). For instance, in 2002/2003, Botswana’s Ministry of Finance and Development
Planning (MFDP) announced their intention to increase the use of PPP as a procuring and financing
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mechanism in the public sector. The government considered PPP an effective tool for ensuring
sustainable investment in infrastructure and managing public finance in a sustainable way. Regardless
of creating a PPP policy, Botswana struggled to drive interest in the actual implementation of PPP on
capital projects – including transportation infrastructure (MFDP 2009). According to Delmon (2015),
for PPP to be a viable procurement option, a strong political will is required, effective legal regulatory
structure, access to financing (debt and equity), guaranteed revenue stream (user charge, etc.), credit
enhancement (collateral), and effective project selection, preparation, and implementation system are
required. These are considered PPP critical success factors.
3. Public-Private Partnership Critical Success Factors for

Transportation Infrastructure
For a project to achieve success, it is essential that CSFs applicable to the specific project are identified.
Identifying CSFs is essential to management since they identify the key areas where a positive result is
a necessity (Hwang et al., 2013). Although Osei-Kyei and Chan (2015) conducted a comprehensive
literature review of PPP critical success factors published between 1990 and 2013, the scope of the
literature was broad (not specific to transportation infrastructure). Given the uniqueness of
transportation infrastructures and the uncertainties associated with such projects, it is permissible to
assume that the CSF associated with transportation projects would differ from those captured by Osei-
Kyei and Chan (2015). In addition, it is likely that additional literature on PPP related CSF has been
published between 2013 and 2017. This assumption is justified by Osei-Kyei and Chan's (2015) work
which states that the number of CSF-related research published in 2013 (6) represented 200% increase
when compared to the number of articles published in 2011 (2). Therefore, the integrative literature
review was conducted to determine the CSFs pertinent to transportation projects and possibly extend
findings published by Osei-Kyei and Chan (2015).
Ten articles were identified through Scopus following the key word probe. As mentioned earlier, a
secondary search was conducted using Google Scholar and Web of Science which identified five
articles overlooked by Scopus. Following a close inspection, one article discovered through Scopus was
dropped since it was not relevant to the study. In addition, three articles identified through the secondary
search were excluded since they did not meet the inclusion criteria. Therefore, ten studies (Scopus = 8;
Web of Science and Google Scholar =2) that met the inclusion criteria were analysed. In total, 24 CSFs
pertinent to transportation infrastructure were identified following content analysis. Below are the 24
CSFs ranked in an ascending order (based on their frequency of appearance in literature). Table 1 shows
the top 5 CFSs identified through integrative literature review process.
(CSF1)Thorough and realistic cost/benefit assessment, (CSF 2)social support, (CSF 3)transportation
infrastructure is needed, (CSF 4)political support and stability, (CSF 5)technical feasibility of project,
(CSF 6)experience, Commitment/responsibility of public/private sectors, (CSF 7)shared authority
between public and private sectors, (CSF 8)capable public and private partners, (CSF 9)favorable
investment climate, (CSF 10)stable macro-economic environment, (CSF 11)competitive procurement
process, (CSF 12)transparency of procurement process, (CSF 13)well-organised public agency, (CSF
14)sound economic policy, (CSF 15) efficient procurement process, (CSF 16)appropriate risk
allocation and risk sharing, (CSF 17)favourable legal framework, (CSF 18)good governance, (CSF
19)availability of suitable financial market, (CSF 20)implementation of innovative technologies/
solutions, (CSF 21)government provides a guarantee, (CSF 22)revenue forecasts, (CSF 23)community
engagement program, (CSF 24)performance specification/payment mechanism.
203
The top five CFSs identified through content analysis are: thorough and realistic cost/benefit
assessment, social support, transportation infrastructure meets a need, political support and stability,
and technical feasibility of the project with a frequency of 90%, 90%, 80%, 89%, and 80% respectively.
Using a factor analysis approach, Chou et al. (2012) identified 10 critical success factors pertinent to
high-speed rail projects while Macario et al. (2015) identified 5 critical success factors that could
influence any transportation infrastructure.
Table 1: Top five critical success factors based on the frequency of occurrence.
ID Critical success Source Year
Percentage
factors
Frequency
Frequency
Rank
CSF1 Thorough and Chou et al.; Mladenovic et al.; Hsueh 2012; 2013; 2017; 2008; 9 90 1
realistic and Chang; Smith and Gannon; Wang; 2015; 2007; 2002; 2008;
cost/benefit Murray; Askar and Gab-Allah; 2016
assessment Kaenzig et al.; Bae and Joo.
CSF2 Social support Chou et al.; Mladenovic et al.; Macario 2012; 2013; 2015; 2017; 9 90 1
et al.; Hsueh and Chang; Smith and 2008; 2007; 2008; 2002;
Gannon; Murray; Kaenzig et al.; Askar 2016;
and Gab-Allah; Bae and Joo.
CSF3 Transportation Mladenovic et al.; Hsueh and Chang; 2013; 2017; 2008; 2015; 8 80 3
infrastructure is a Smith and Gannon; Wang; Murray; 2007; 2002; 2008; 2016.
need Askar and Gab-Allah; Kaenzig et al.;
Bae and Joo.
CSF4 Political support Mladenovic et al.; Macario et al.; 2013; 2015; 2015; 2008; 8 80 3
and stability Wang; Smith and Gannon; Kaenzig et 2008; 2002; 2007; 2016.
al.; Askar and Gab-Allah; Murray; Bae
and Joo.
CSF5 Technical Chou et al.; Mladenovic et al.; Hsueh 2012; 2013; 2017; 2015; 8 80 3
feasibility of and Chang; Wang; Murray; Kaenzig et 2007; 2008; 2002; 2016.
project al.; Askar and Gab-Allah; Bae and Joo.
4. Case Study Illustration
Following the successful identification of 24 transportation infrastructure CSFs, it is important to verify

if all 24 CSFs are relevant within the context of emerging economies and developing countries.
Therefore 3 case studies from developing countries are presented below:
Case Study 1 (CS1): Bus Rapid Transit, Project, Bogotá, Colombia
Urban migration is an increasing phenomenon in developing countries due to the promise of a safer
environment and a better livelihood. This growth put a strain on the infrastructure of the city absorbing
such influx. Bogota, a city of close to 6.5 million in Colombia experienced a similar scenario and
witnessed severe bottlenecks in the transportation sector. To meet the growing demand, a bus rapid
transit was proposed by the Mayor’s Office as an effective means of alleviating the growing congestion
in Bogota. Design, planning, and investment were executed by public institutions in Bogota while the
private industry provided technical input and operated the system. Trans Milenio’s primary objective
was to create cost effective transportation that would improve urban productivity in Bogota. After the
implementation of the BRT system, users are saving approximately 223 hours a year. It is also
considered the most popular public project in Bogota.
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Case Study 2 (CS2): North Luzon Expressway, Luzon, Philippines
Approximately 50% of Philippines 91 million residents live on the island of Luzon which houses
Manila, the capital city. North Luzon Expressway is considered the primary transportation corridor
connecting Manila to central and north Luzon. This corridor handled a high traffic volume of more than
160,000 vehicles a day. The expressway was built between 1975 and 1977 by the department of public
works and highways and managed by a private entity which was then bought over by the government.
Years of poor maintenance, high accident and fatality rate, and growing population significantly
increased congestion. Following approval of a 30-year BOT contract, the Manila North Tollways
Corporation (MNTC) (four partners including a public entity and three private companies) repaired and
expanded the expressway between 2003 and 2005. The total cost for the project was $384 million. To
recoup the investment, MNTC assessed tolls to vehicles using the expressway. Commute time and
congestion on the expressway were reduced by MNTC through widening and proactively maintaining
the roads.
Case Study 3 (CS3): Port Expansion, Colombo, Sri Lanka
Colombo, the capital of Sri Lanka is home to one of three major deep water ports in Sri Lanka. Due to
its geographical location, the ports in Sri Lanka are poised to be a significant global player in the
shipping sector. Between 1987 and 1997, the throughput at the Colombo Port facility increased from
sub-500,000 20-foot equivalent units (TEUs) to over 1.5 million TEUs. However, as at 2004, Colombo
Port was losing its competitive advantage to more modern facilities. The investment was required to
improve its facilities and drive up market share. To achieve this objective, the capacity of the terminals
at the port and efficiency in container handling had to be significantly increased. The Sri Lanka Port
Authority and several private companies signed a 30-year build-operate-transfer (BOT) concession
under the South Asia Gateway Terminals Limited (SAGT partnership) in order to improve, expand,
operate and manage one terminal at Colombo deep port. The project was estimated to cost $240 million
but was executed under budget ($227.4 million). Throughput was increased by 45% annually and wait
time was reduced from 6.9 hours to 0.9 hours.
Complete description and summary of each case study can be found using the link provided below
(Source: http://academy.ssc.undp.org/GSSDAcademy/SIE/VOL15.aspx)
Table 2 highlights the CSFs extracted from each case study. It is important to note that although not
captured in Table 2, at least one CSFs (out of 24) discovered through the integrative literature review
process was considered a CSF in the evaluated case studies. Although not conclusive, this finding
provides some validation for the identified CSFs. Furthermore, it could be inferred that the
transportation infrastructure PPP CSFs for developed countries are also applicable to developing
countries although the level of importance (significance of each CSF) was not ascertained.
Table 2: Critical success factors discovered in case study projects

Case study
CSF 10
CSF 12
CSF 13
CSF 14
CSF 15
CSF11
CSF 1
CSF 2
CSF 3
CSF 4
CSF 5
CSF 6
CSF 7
CSF 8
Projects
CSF9
CS1 x x x x x x x x x x x x x
CS2 x x x x x x x x x x
CS3 x x x x x x x x x x x
Frequency (%) 100 100 100 100 100 100 100 100 67 33 33 67 67 0 67
205
CSFs’1 through 8 were mentioned in each case study leading to 100% frequency while CSF 10 and
CSF 11 were present in one case study (33.33%). CSF 14 did not appear in any case study. Although
not completely consistent, there seems to be a reasonable overlap between the frequency in the case
studies and the findings from the integrative literature review. This finding indicates that the critical
success factors required for implementing PPP on transportation projects in developing countries are
similar to those required in developed countries. These views were supported in Ngoma et al. (2014)
and Mudi et al. (2015).
5. Conclusion
The current study set out to identify the key factors that predict success in implementing PPP on a
transportation project. To achieve this objective, an integrative literature review was conducted by the
researchers to identify PPP CSF for transportation infrastructure in a developing country followed by
an in-depth analysis of three case studies from developing countries to validate the identified CSFs.
Results from the integrated literature review indicate that 10 articles pertinent to the current study were
available. Within those 10 articles, 24 CSFs were extracted. Based on the frequency of appearance, the
top five PPP transportation project CSFs are thorough and realistic cost/benefit assessment, social
support, transportation infrastructure meets a need, political support and stability, and technical
feasibility of the project. Analysis of the case study indicates that all 24 CSFs were identified as a CSF
in at least one case study. Future research should consider conducting a more in-depth analysis using
multiple case study drawn from developing countries in different regions. In addition, collecting and
analysing questionnaire response from industry expert regarding the level of importance of the
identified transportation CSF will provide much needed direction to future PPP proposals. Finally, a
framework for adopting PPP-based transportation infrastructure in developing countries is required.
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209
DII-2017-048
Evaluating Financial Risks in Zambia’s Public Private
Partnership Projects: The Case of the UNZA East Park
Mall and Kasumbalesa Border Post
Peter Mukalula1, Mundia Muya2
Abstract
Emulation of the United Kingdom’s PFI model has seen countries engage the private sector in bolstering
aggressive infrastructure development in areas such as transport, shopping malls and institutional
facilities. Developed countries have been successful at PPPs. With a rapidly increasing urbanised
society and an expanding need for basic infrastructure, Zambia adopted the PPP mode of development
in 2009 in tandem with the African and international community. For developing countries, budgetary
constraints usually hinder sustained infrastructure development. Although governments make every
effort to further development on a yearly basis through budgetary allocations, the infrastructure burden
remains a daunting task. The PPP route has offered an attractive alternate way for the much needed
development. But PPPs normally have numerous risks. Financial risks are but one of the risks that,
ultimately, renders a project’s success or failure. This is because financial risks enables that proper
decision-making are made regarding projects. Projected costs that are used to compute the internal rate
of return as well as the payback periods of a project, give a synopsis of the economy, in general.
Regrettably, analysing of such risks is not the strength of professionals in Zambia. Using two
successfully implemented projects (the UNZA East Park Mall and Kasumbalesa Border Post projects),
this paper analyses the financial decisions undertaken on them. The paper shows the trajectory of the
decisions made and what remedial measures could be taken. It is the premise of this paper to show that
financial risks would need those schooled to identify incipient flaws in a bankable proposed project.
Bankable PPP projects are what any developing country yearns for. But at what cost would decisions
on such projects impact a country’s tax payer who would eventually meet the cost?
Keywords: financial risk, infrastructure, public private partnership20
1. Introduction
According to the Africa Infrastructure Country Diagnostic Report, Zambia needs to spend US$1.6
billion a year over the decade 2006 – 2015 to develop its infrastructure to the level found in the rest of
the developing world. This estimate is equivalent to 20% of Zambia’s gross domestic product (GDP)
and it is double the country’s rate of investment in recent years. IBRD (2010) estimated Zambia’s
infrastructure funding gap at US$500 million per year. These estimates have been out stripped owing
to the grave challenges of attracting would-be investors seen in the incongruent governance application
with regard to PPPs even though the construction sector (compared to other sectors) has been doing
well the last few years and registered 18.9% as contribution to the gross domestic product (Figure 1).
1PhD student; Department of Civil and Environmental Engineering; University of Zambia; P O Box 32379, Lusaka;
[email protected]
2Dean; Department of Civil and Environmental Engineering; University of Zambia; P O Box 32379, Lusaka; Postal Address;
[email protected]
210
Figure 1: Construction contribution
Source: BoZ 2010, 2013 and 2015 Annual Reports
This research is part of a doctoral thesis that seeks to highlight financial risks for two implemented
successful PPP projects have been contending with.
Public Private Partnerships (PPPs) have several definitions. Most definitions often retain the central
feature of participation of the public and private parties. PPPs have been described as complex type of
contracts which work on the premise of a synergy of the public and private sectors (Zulu and Muleya,
2009; Alshawi, 2009). Hodge and Greve (2007) called for the re-examination of the different meanings
and definitions given to PPPs. Akintoye (2009) defined PPPs as contractual agreements of shared
ownership between public agencies and private companies, whereby as partners, they pool resources
together and share risks and rewards, to create efficiency in the production and provision of public and
private goods traditionally provided by the public sector.
Byrne (1984) gave a comprehensive definition of infrastructure development that is in line with this
research. He enumerated the characteristics of development as the:
(i) perception and estimation of demand for new buildings of different types;
(ii) identification and securing of sites on which buildings might be constructed to meet that demand;
(iii) design of accommodation to meet the demand on the sites identified;
(iv) arrangement of short- and long-term finance to fund site acquisition and construction;
(v) management of design and construction; and
(vi) letting and management of the completed buildings.
Financial risks are part of the fabric of ensuring successful PPPs (Akintoye, 2009; Rwelamila et al
2003). Although Zambia has sought to grow its PPP portfolio, the management of risk along with legal
and regulatory constraints, procurement, capacity building and project financing have posed mounting
challenges (Zulu and Muleya, 2009). The viability of such projects shows how successful the allocated
211
risks between the partners are dealt with. Mukalula and Muya (2014) noted the use of financial
appraisals amidst other appraisal tools used for decision making in Zambia’s PPP evaluation. Five key
components are normally used in financial (appraisal) assessment checklist (OECD’s (2008) as a
benchmark for a public sector comparator (PSC) exercise in streamlining public policy. The policy
options envisioned by the PSC are normally based on historical costs that overtaken due to the nature
of developing economies.
Adams et al (2006) suggested three reasons why PPPs are being used:
 that they reduce the burden on taxpayers in the delivery of both capital and long term service
contracts by the introduction of private capital, expertise and competitive business practices to
the provision of public services;
 the private sector has a higher level of efficiency and effectiveness than the public sector which
is hindered by its highly bureaucratic and politicized operative processes; and
 risks associated with the provision of such infrastructure can be spread between the private and
public partners hence relieving taxpayers of some of the costs incurred by decision taken long
ago.
The application of PPP projects shows how that ‘one size does not fit all’ (Rwelamila et al 2003). Key
lessons learnt over the African continent have shown the need for strong public and private sectors to
enable success of PPPs (Mukalula and Muya (2014); Ndandiko (2006) and Zulu and Muleya (2009).
Governments have to undertake such service delivery through the option of decentralized management
and market mechanisms (Pongsiri, 2002). Governance is therefore a matter of concern. Stoker (1998)
defined governance as the development of governing styles where the principles of accountability,
transparency, fairness, efficiency, participation and decency are embraced. Alfen et al (2009) defined
governance as a decision-making process. Governance must therefore embrace transparency in all its
decision-making processes. Abednego and Ogunlana (2006) developed the good project governance
(GPG) concept that is aimed at evaluating performance under the PPP procurement mode. Abednego
and Ogunlana (2006) further argued that proper risk allocation is only achievable through good
governance which in turn leads to better project performance (Guasch, 2004; Qu et al, 2013).
3. Research Gaps
The following knowledge gaps were identified in the reviewed literature:
(i) the need to investigate what critical success factors influence decisions made regarding risks on
PPP projects;
(ii) the need to find out what an effective risk allocation mechanism must achieve to enhance decision
making;
(iii) the need to measure the effects of the major risks affecting project phases;
(iv) the need to investigate net present value distribution over the project noting what beneficial
effects would be obtained; and
(v) the need to investigate what appropriate risk mitigation methods are applied to successful PPP
projects.
This paper discusses the fourth point listed above.
212
4. Methodology
Data was collected using a mixed research method that included structured interviews as well as a
detailed questionnaire. Each interview lasted between 30 and 40 minutes. Extensive notes were taken
during the interviews. The spacing of the interviews enhanced establishment of good contact and firm
arrangement of dates and venues. The detailed questionnaire was given to professionals who had
interacted with the PPP law in Zambia and results were analysed using excel and SPSS package.
5. Results and Analysis

5.1 Analysis of interview results
Owing to the fact that PPPs were novel in Zambia at the time of the study, a purposive sample of 10
stakeholder interviewees were selected based on their knowledge of the PPP procurement mode. Four
main areas were the focus of the interviews which included critical success factors for PPPs, the risk
perception and allocation in the project, investment objectives pursued in projects as well as what
financial decision-making tools are used on projects. Descriptive analysis was used on the qualitative
data collected (Silverman, 2010).
5.1.1 Background information on respondents
Respondents interviewed held high or middle level positions in their organisations. 70% of the
respondents had no PPP experience while 30% had none compared to the number of years served in the
construction industry (Figure 2).
Level of PPP Experience

45
Years worked
40
Experience/PPP Experience
Years Worked/Industrial
35 Industrial Experience
30 PPP Experience
25
20
15 14
10 10
7 7
5 5 5
2 2 2 23 334 4 2322 222
0 0000 0 11 0000000 0000000 1 00 1
1 3 5 7 9 11 13 15 17 19 21 23 25 27 29 31 33 35 37 39 41 43 45 47
No. of responses
Figure 2: Experience of professionals interviewed
5.1.2 Risk perception and allocation
Interviewees were asked as to which risks would make the implementation of PPPs a difficult task.
Thirteen risks were singled out as influencing the Zambian construction industry. Of these, political and
high interest risk received seven occurrences, respectively. These were followed by ‘lack of consistent
213
policies’ which had five occurrences. Ten risks had a single occurrence as shown in Figure 3 denoted
by D to M.
8
No. of occurences
6
4
2
0
A B C D E F G H I J K L M
Occurences 7 7 5 1 1 1 1 1 1 1 1 1 1
A – Political risk B – High interest rate risk

C – Lack of consistent economic policies D – Foreign exchange risk
E – Global market influences F – Land acquisition difficulties
G – Lack of design H – Construction coordination risk
I – Force majeure J – Social risk
K – Investment risk L – Poor governance risk
M – Financial risk
Figure 3: Project Risks in Zambia
On the allocation of risk, interviewees were asked as to how risks should be allocated. Interviewees
gave five different responses. ‘Government only’ bearing the risk as well as ‘the best party to handle
risk’ each had 3 occurrences, respectively. This was followed by the private sector bearing the risk
which had 2 occurrences. Sharing risk equally and having risk dealt with in other ways such as engaging
a bank, each got a single occurrence from the interviewees.
5.1.3 Investment objectives
Investment objectives are themes that PPP projects often follow. Interviewees were asked to state what
objectives projects implemented had followed. The pursuit of ‘social infrastructure development’ had
three occurrences. This was followed by the private sector that has a ‘profit benefit’ receiving five
responses from the interviewees. Economic infrastructure was third with four occurrences.
Improvement of social and economic infrastructure each had two occurrences while ‘business
diversification’ had one occurrence indicated by the interviewees.
Interviewees were asked if the above stated objectives were aided by the PPP policy and Act No. 14.
The number of respondents that agreed that the law had instigated such objectives was four while six
stated that they were ‘not sure’. There were no responses for those that stated ‘no’. Those that had
answered ‘not sure’ did so because they had not read Act No. 14 hence, could not correlate what was
happening in the industry with the introduction of the legislation. This suggests that though there is
legislation that oversees PPPs, there is lack of understanding of what is involved.
5.1.4 Financial decision-making tools
Interviewees were asked to indicate which financial decision-making tools had been used on
implemented PPP projects. A total number of 6 tools were identified as shown in Figure 4. It was
observed that projects applied a combination of decision-making tools. The financial appraisal tool was
214
the most common cited by 8 interviewees. This was followed by cash flow analysis that had two
occurrences from respondents. The other decision-making tools used were profit and loss analysis,
development concept, cost/benefit analysis and life cycle costing which had a single response each.
10
No. of occurences
8
6
4
2
0
A B C D E F
Occurences 8 2 1 1 1 1
A – Financial appraisals B – Cash flow analysis

C – Profit and loss analysis D – Development concept E – Cost benefit analysis
F – Life cycle costing
Figure 4: Financial decision-making tools
Respondents were asked on the effects of decision-making on project risk. The effect of using decision-
making tools was that it enabled projects to be assessed which received five occurrences. This was
followed by ‘identification and mitigation of risk’ and ‘instils trust’ that had two responses from the
interviewees, respectively. Enhancing decision-making had 1 occurrence. The main effect of decision-
making tools was the ability to make informed decisions. Interviewees were asked as to which decision-
making tools were considered important for projects by financial institutions. A total number of seven
decision-making tools were listed from the responses of the interviewees. Financial appraisals were the
preferred decision-making tool by financial institutions as stated by six interviewees. The other utilised
tools were the business plan, cash flow analysis, public sector comparator, life cycle costing, equity
requirements and assurance of business, each was given a single response.
5.2 Case study observations
The two case studies conducted were those for the East Park Mall (at the University of Zambia) (Figure
5) and the Kasumbalesa Border post (Figure 6) near the Democratic Republic of Congo. Both projects
were signed on Build Operate and Transfer type of PPP. Special Purpose Vehicles (SPV’s) were created
to facilitate the construction as well as smooth payment of loans procured for the implementation of the
project. This was typically a dual entity type of structure carefully crafted for setting up the project. The
agreed period of handover varied from 37 and 39 years, respectively. Amenities at the UNZA mall were
to consist of retail and food shops, offices and a construction hardware facility. The Kasumbalesa
facility would eventually usher in a one-stop-border post. For both cases, the payback period is most
notable. The curve in figure 5 is symmetrical while the Kasumbalesa Border post one is not. Both
projects were evaluated using the net present value (NPV) method over a 40-year period, which over
arched the construction and handover periods for comparative purposes.
215
Figure 5: University of Zambia East Park Mall project
Figure 6: Kasumbalesa Border Post
The UNZA project was thoroughly scrutinised by the committee tasked to over-see the implementation
of the project. From figures 5 and 6, it is worth to point out that the best tenable picture would be one
seen in the UNZA case. Critical information was requested from the developer. The Kasumbalesa
project, on the other hand, used varied information that suggested that the developer would make loses.
This is what prompted the government to repossess the project as there was ‘suspicion’ of inaccurate
disclosure of information. Wang (2007) stated that disclosure of accurate information normally
portends successful cases. The success of the University of Zambia East Park Mall BOT implementation
was because of greater scrutiny of the investors’ proposals by a committee that was specially set up at
the institution. Kasumbalesa Border Post BOT project (cash flows shown in figure 6), on the other hand,
was temporarily repossessed by the Zambian government at some point due to inaccurate disclosure of
information and later returned to the investor. Border security matters were also of great concern to the
government. However, the decision to implement both projects was commendable. Owing to the fact
that the dual financing structures were used to operationalise the SPV, both projects did not have
complexities that were not foreseeable. The negotiation stage, which was a precursor to the construction
phase, ensured that matters that would de-rail the project (such as the UNZA case) were looked into.
216
The decision tools stated in figure 3 (such as the cash flow analysis), would have shown the scenario
obtaining for the project’s financial risks to be mitigated. The internal rate of return (IRR) and payback
(PB) methods would have shown the inevitable conclusion towards the success of the projects. Such
was the case for the Kasumbalesa project that showed a rather unhealthy situation whose payback and
handover period were rather close to each other. The suggestion was that the project was not profitable
hence needed a longer time to recover invested funds.
6. Conclusion
Financial risks must be carefully considered before the implementation of project by the concessionaire.
Lack of disclosure of accurate information pertaining to the project is a risk that those wishing to use
PPP mode of development. A huge contingency not only affect the payment period but lengthens the
hand over period. Such risks threaten to the success or failure of the project. Crucial to such risks
eventually affects borrowing structures that have financed the venture. Decisions made for a project
must weigh the information provided in terms of its genuineness. A careful understanding of the
repercussion of financial risks is fundamental to those tasked to approve such projects. Projects would
only register a healthy net present value and payback period if true information is provided by would-
be investors. Only then would it be guaranteed for tax payers not to be over-burdened with unjustifiable
hand-over periods. Such periods would only maximise profits to the investor and be potentially
detrimental to ‘beneficiaries’ of PPP projects.
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Infrastructure Projects, International Journal of Project Management, Elsevier Science Ltd, Vol. 20, pp.
107-118
Mukalula, P and Muya, M (2014) The Challenges of Implementing Public Private Partnerships, 3rd
Conference proceedings, published by Department of Construction Management Nelson Mandela
Metropolitan University PO Box 77000 Port Elizabeth 6031, South Africa, ISBN: 978 – 1 – 920176 –
99 - 0
Wang, S.Q (2007) Infrastructure Development PPP in China and Lessons Learnt, paper presented
at the summer programme on ‘Construction Management Practices in China, Tsinghua University,
Beijing
Zulu, S and Muleya, F (2009). Delivering Infrastructure Development using PPP/PFI: A Challenge for
Zambia. Proceedings of the Association of Schools of Construction in Southern Africa held at the Sun
International, Livingstone, Zambia.
218
DII-2017-050
Modelling the Duration of Procurement Process of Public-

Private Partnership Projects in Nigeria
Abdullahi A. Baba1, Abdullahi Umar2, Mustapha Yakubu3
Abstract
Public-Private Partnership (PPP or 3P) is a procurement strategy developed to augment infrastructure
delivery and to serve as an alternative to traditional procurement method. Most countries of the world,
and of course the Sub-Sahara Africa, adopted the PPP procurement model for infrastructure delivery.
While some countries are still reaping the fruit of PPP model, some are yet to earn the maximum
benefits from the procurement strategy because of long gestation period of PPP projects at the
procurement stage. Nigeria is among those countries that embraces PPP with the passage of PPP Act
into law in the year 2005. However, this article attempts to model the procurement time of PPP projects
in Nigeria under the normal conditions. A mathematical model was developed for estimating the
procurement time of Public Private Partnerships PPP projects in Nigeria. Secondary data from the
World Bank were used and Minitab computer software version 17 was used in developing multiple
regression model. The model was tested and validated using three different projects and was able to
achieve the predetermined benchmark or allowance of plus or minus 10% of the established
procurement time under the normal conditions. With the regression model developed, the gestation
period to procure a PPP project in Nigeria was found to be approximately 635 days. This signifies that,
under normal condition, it is possible to procure a PPP project in Nigeria within 635 days, showing an
improvement by 4%. This time is obviously long. Unless the country strives to improve this long
procurement time, its investments in infrastructure through PPPs would continue to deliver only a
fraction of the potential benefits.
Keywords: procurement time, public private partnerships, regression model21
1. Introduction
The traditional procurement is the oldest and most common form of public procurement. Nigeria,
having been colonized by the British went ahead to adopt its governance style and business ethics. The
traditional procurement approach has been practiced in Nigeria since independence. However, history
has proved that traditional lump sum contracts have consistently failed to deliver projects to budget and
to time (Cartlidge, 2004a). Concerned about the consistent poor performance of the traditional
procurement approach, the United Kingdom (UK) government commissioned numerous studies over a
span of half a century 1944-2001. These reports were meant to isolate the cause of the consistently poor
results from government procurement activities (Simon, 1944; Emerson, 1962; Banwell, 1964; Latham,
1994; Egan, 1998; NAO, 2001).
1Department of Procurement, Nigerian Maritime Administration and Safety Agency (NIMASA); No. 4, Burma Road, Apapa,
Lagos, Nigeria.
2Civil Engineering Department, Alhosn University, Abu Dhabi, UAE
3Quantity Surveying Department, Faculty of Environmental Technology Abubakar Tafawa University PMB 0248 Bauchi
Nigeria
219
Latham (1994) and Egan (1998) were the first people that made reference to the possibility of partnering
between clients and contractors for better delivery. “Partnering”, as Latham (1994) had observed,
‘includes the concepts of teamwork between supplier and client, and of total continuous improvement.
It requires openness between the parties, ready acceptance of new ideas, trust and perceived mutual
benefit. We are confident that partnering can bring significant benefits by improving quality and
timeliness of completion whilst reducing costs’ (Latham, 1994). However, in spite of these reports, the
major construction problems of quality, cost and time overruns persisted. It has been argued that social
media could be used to force policy makers to consider the ‘idle’ findings of project planning
scholarships for onward integration into existing planning policies in order to reduce project failures
which has bedevilled many megaprojects (Flyvbjerg, 2012).
Public-private Partnerships (PPP) or Private Finance Initiatives (PFI), as it was called in the UK
eventually came to the fore as a result of infrastructure financing difficulties under the Thatcher regime.
Under a classic PPP arrangement, the public sector specifies the services while the private sector designs
and builds a dedicated asset to deliver the service, finances its construction and subsequently operates
the asset and provides the services. The Public-Private Partnership model evolved out of the desire of
governments to develop infrastructure while delivering important services to other sectors for which it
is responsible. Even though the Nigerian government had adopted the Public Private Partnerships
procurement option since 2005, the benefits have yet to be seen. PPPs have proven to be successful in
developed countries and developing countries such as South Africa, Malaysia and Chile. This is as a
result of spending a long and unnecessary time at the procurement phase that need to be addressed in
order to achieve a successful PPP projects for infrastructures delivery and sustainable development. To
this end, this article aimed at developing a mathematical model needed to calculate the procurement
time of PPP projects in Nigeria under normal conditions. The finding of this study will go a long way
in projecting procurement times of future projects and how to improve it.
1.1 Public-private partnerships procurement process
Public private partnerships have not been without their own problems and controversies. The general
implementation process for PFI projects consists of 14 stages (Table 1) (Liu et al., 2016). There have
been empirical studies which indicate that PPPs do not deliver their promised benefits (Lobina,
Kishimoto, and Petitjean, 2014; Kishimoto, Lobina, and Petitjean, 2015). But a major issue has always
been the duration from inception to implementation and service availability.
Table 1: Procurement timeline for West Middlesex Hospital PPP

West Middlesex Hospital PPP
S/No Key milestones Key milestones’ date
1 OJEU announcement Aug-1998
2 Pre-Qualification questionnaire issued Oct-1998
3 6 longlisted candidates issued preliminary invitation Nov-1998
to negotiate
4 3 shortlisted candidates issued Final invitation To Jun 1999
Negotiate
5 Select preferred bidder Dec-1999
6 Full business case approval Oct-2000
7 Financial close Jan-2001
8 Start of construction (new build) Aug 2001
9 Completion of construction (new build) Mar-2003
10 First patient day May-2003
11 Hospital completely operational Jun-2004
220
Cartlidge (2004) outlined measures for reducing procurement time by enumerating 9 measures
including:
• Reduce the stages for tendering from the current recommended 14 stages, an option currently
under review by the Office of Government Commerce.
• Reduce time up to best and final offer
• Eliminate the best and final offer stage
• Reduce the number of bidders to two or three
• Develop the brief as fully as possible with improved project definition before issue to bidders
• Reduce the need for up-front detailed design
• Increasing and retaining public sector expertise
• Standardization of PFI contracts
• Do not ask bidders for full due diligence before preferred bidder stage, as this operation is often
repeated on the request of the financiers before financial close, much to the frustration of the rest
of the team who see matters that they thought were agreed and settled, unbundled for
reconsideration.
The various stages that Cartlidge (2004) advocates to be excluded are very important for the
effectiveness of PPP procurement, instead measures should be taken to make the processes more
efficient. For example, countries like Ghana and Cameroun undertake these processes and are still able
to conclude procurement in less than 100 calendar days against Nigeria’s 660 calendar days(Bank,
2015). What needs to be done is to look at the individual processes from inception to award of contract
and identify the causes of delays in the process. Because, other factors could be responsible for the
lengthy duration of the PPP procurement other than the processes and number of stages involved. For
example, lack of high level political support for PPPs and weak public sector PPP capacity have been
argued to be some of the factors responsible for long gestation periods(Yong, 2010, p. 110). Strong
government support indicates to the private sector the readiness and commitment of political leaders to
the project thereby building their confidence to participate in the process.
1.2 Need for the model for estimating procurement time
The importance of PPP procurement scheme for infrastructures delivery in any growing economy
cannot be over emphasized; because they have been found to support foreign direct investments and
economic growth. It is however important to determine the actual procurement time of PPP Projects in
Nigeria under the normal condition. World Bank (2015) determined the duration of PPP procurement
n ten different economy including Nigeria using survey questionnaire. The value for Nigeria was found
to be 660 calendar days. However, this method was found to be crude and based on many assumptions
(Bank, 2015). To this end, the need for more scientific method of calculating and arriving at the more
accurate value of number of calendar days required to procure a PPP project in Nigeria arose, hence
regression model will serve as the solution. Modelling using regression has been found to be reliable
because it involves training of all the variables inputs in the equation (Harrell, 2015).
Therefore, the results of this study would go a long way in helping the Nigerian government understand
if at all they need to do better and what they should avoid to hasten benefits realization from their
pipeline of PPP projects. It is expected that the proposed PPP model will serve as a useful tool in proper
planning by government officials. The finding of this study would also contribute to the growing body
of knowledge and also serve as a basis for further research among academics. It is also hope that the
findings will foster greater debates among academia, policy-makers, designers/planners,
221
clients/Developers, on the relative merits of adopting PPPs as a procurement strategy and be a reference
material for future discussions on the issue.
According to (Maxwell, 2012), In order to archive objectives of any research, the researcher has to have
a robust research design that will leads to a successful achievement of the objectives and testing the
hypothesis of the research.
Research designs are programs or plans that guide the investigator in the process of collecting,
analyzing and interpreting observations of data (Stephen and Christopher, 2004). Furthermore, the
research design should be geared towards meeting the purpose of the research and to provide a program
used by the researcher to answer the research questions.
2.1 Nature of data for computing procurement time of public private partnership
projects in Nigeria
Secondary data sources are generally suitable for computing procurement time of Public Private
Partnership Projects in Nigeria. Secondary data from World bank data-base were compiled for
modelling the procurement time. However, the data was found to have a positive correlation between
the variables in the equation which are suitable for modelling the procurement time of PPP projects in
Nigeria.
2.2 Mathematical formulation (multiple regression)
Multiple regression analysis is used to estimates numerical relationship between and among two or
more variables. It can be defined as the science of estimating in functional form, the dependence of one
variable upon another.
The simple linear function is presented hereunder:
y = p + qx
Where,
p = is the intercept on vertical axis (Y– axis) i.e where the graph crosses the y axis, x = is variable and
q is the gradient of the line at which the differential coefficient of y with respect to x equals to zero.
The constants “p” and “q” of simple regression liner function (y = p + qx) are determined by:
q = n ∑xy – (∑x ) ( ∑y)

n ∑ X2 – ( ∑ X) 2
p = y– qx
Minitab computer software version 17 was used in finding the values of p-and-q. This technique helped
in developing the mathematical equations for “forecasting” the effect of one or more variable based on
another variable.
222
However, the use of multiple linear regression in this article is in line with the fact that the variables:
concession period (CP), procurement time (PT), financial close year (FCY), Project Value (PV) has
direct and positive correlations with each other as stated by Kaiser, (Kaiser and Liu, 2014). This
therefore signifies that, the procurement time of PPP project is dependent on the project value,
concession period, type of project (green or brown field), complexity of the project. Therefore, these
variables are suitable for the equation.
2.3 Regression Model for computing procurement time of PPP projects in Nigeria
Table 2: Regression Results

Variables Regression % F -Cal F- P Highest Inference
Equation R2 Tab Value Correlation
procurement time (PT) (PT) = 7994 + 0.173 96.7 217.83 3.05 0.000 0.977 Significant
Vs concession period (PV) - 3.70 (FCY) +
(CP) Vs financial close 0.479 (CP)
year (FCY) Vs Project
Value (PV)
2.4 Discussion on result
It can be deduced from the table above, F calculated (F-Cal) 217.83 > 3.05 value of f tabulated when
5% level of significant is used, and the coefficient of correlation between the Procurement Time (PT)
and Project Value (PV) was found to be = 0.977 showing a strong and significant statistical relationship
among the variables involve in the equation. However, the coefficient of determination R2 was found
to be 96.7%, this connote that, 96.7% variation in procurement time of PPP projects in Nigeria is
accounted for, by a change in the combination of all the variables; namely concession period (CP),
financial close year (FCY), Project Value (PV) related to PPP projects in Nigeria. It further confirms
that, there is significant statistical relationship between the variables used in the prediction.
In the same vain, a regression procurement time model was derived as follows:
(PT) = 7994 + 0.173 (PV) - 3.70 (FCY) + 0.479 (CP)
Where PT = Procurement time in days, PV = Project value in million USD, FCY = The financial close
year and CP = Concession period in years.
The scattered plot in figure 1, indicates the general tendency for procurement time increased to a result
of increase project value for PPP project in Nigeria. This is because the scattered points are concentrated
along the straight line of best fit. The finding of the wold ban
223
Fitted Line Plot
(PT) = 585.2 + 0.1646 (PV)
850 S 11.5657
R-Sq 95.5%
R-Sq(adj) 95.3%
800
750
(PT)
700
650
600
550
0 200 400 600 800 1000 1200 1400 1600
(PV)
Figure 1: Regression Plot of PPP procurement time Vs Project value
2.4.1 For Example, No. 1: –
The following data which was not trained in the model is used to compute the procurement time
of PPP projects in Nigeria under the current condition:
An active ‘Affam Power Project’ a brownfield PPP project in Nigeria has a project value of USD238
million, and was financially closed in the year 2005. The concession period for the project was pegged
at 25 years.
Using the equation, the procurement time is estimated thus:
(PT) = 7994 + 0.173 (PV) - 3.70 (FCY) + 0.479 (CP)

By substituting the values in the equation, the Procurement Time (PT) can be predicted as follows:
(PT) = 7994 + 0.173 (238) - 3.70 (2005) + 0.479 (25)
7994 + 41.174 - 7418.5+ 11.975 = 628.649
PT ≈ 629 days
An active ‘West African gas Pipeline Project’ a greenfield PPP project in Nigeria has a project value of
USD590 million, and was financially closed in the year 2005. The concession period for the project
was pegged at 30 years.
Using the equation, the Procurement time is estimated thus:
(PT) = 7994 + 0.173 (PV) - 3.70 (FCY) + 0.479 (CP)

(PT) = 7994 + 0.173 (590) - 3.70 (2005) + 0.479 (30)
224
7994 + 102.07 - 7418.5 + 14.37 = 691.94
PT ≈ 692 days
An active ‘Bullnose Port Facilities’ a greenfield PPP project in Nigeria has a project value of USD142.4
million, and was financially closed in the year 2011. The concession period for the project was pegged
at 25 years.
Using the equation, the Procurement time is estimated thus:
(PT) = 7994 + 0.173 (PV) - 3.70 (FCY) + 0.479 (CP)

(PT) = 7994 + 0.173 (124.4) - 3.70 (2011) + 0.479 (25)
7994 + 21.52 - 7440.70 + 11.98 = 586.7962
PT ≈ 587 days
2.5 Summary of Findings
The findings of the study are summarised in Table 3 and Figure 2. These reveal that time can be saved
on projects where the procurement time is particularly attended to.
Table 3: Regression results
Actual Procurement Calculated
Percentage Deviation
S/N Project Time (in days) Procurement Time
From the 660 Days
(PT) (in days)
1 Affam Power Project’ 654 629 -4.70
‘West African gas Pipeline
2 688 692 4.85
Project’
3 Bullnose Port Facilities 603 587 -11.06
Average Procurement time of the
648.33 634.67 -3.64
three projects
SUMMARY OF FINDINGS
Calculated Procurement Time (PT) Percentage Deviation From the 660 Days
629 692 583 634.67

4.85
-4.70 -11.67 -3.84
Affam Power‘West
Project’
African gas PipelineBullnose
Project’
Average
Port Facilities
Procurement time of the three projects
Figure 2: Bar chart showing the summary of findings
225
3. Conclusion
Countries such as Nigeria that rely heavily on crude oil as a major revenue source are at across roads of
what to do in the face of falling crude oil prices. As the traditional source of investment shrink further
in 2017, it reinforces the fact that PPPs will become indispensable as a major source of closing the
infrastructure gap in Nigeria.
A mathematical model was developed for estimating the procurement time of Public Private
Partnerships PPP projects in Nigeria under normal conditions. After testing and validating the model
using three different project, the model was able to achieved the predetermined benchmark or allowance
of plus or minus 10% of the established procurement time under the normal conditions. By taking the
average procurement time of the three projects, the value of the procurement time of PPP project in
Nigeria was found to be approximately 635 days. This value is less than the value of procurement time
established by World Bank by 4% only. This signifies that, under normal condition, it is possible to
procure a PPP project in Nigeria within 635 days, showing an improvement of by 4%. However, this
value is still high compare to the 65 calendar days in Ghana and 75 calendar days in Cameroun.
However, Nigeria would only benefit from its adoption of PPPs if it improves on its procurement time,
reducing it from the current 660 calendar days to the 65 calendar days achieved in Ghana or the 75
calendar days achieved by her neighbour Cameroun. Unless Nigeria strives to do this, its investments
in infrastructure through PPPs would continue to deliver only a fraction of the benefits potentials.
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Inquiry 3rd Edition Califonia: Transaction Publishers.
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DII-2017-066
A Theoretical Assessment of the Challenges of Public

Private Partnership in Improving Infrastructure Service
Delivery in Swaziland
Nokulunga X Mashwama1, Didibhuku W Thwala2, Clinton O Aigbavboa3
Abstract
Public-Private Partnerships (PPPs) play an important role in improving the quality of infrastructure
service delivery in different countries. In the construction industry, PPPs contribute to skills transfer by
the private sector to the public sector and achieving greater efficiency by reducing government
bureaucracy and financial burdens. However, these partnerships have challenges that hinder the
implementation and delivery of infrastructure. This research examines challenges encountered in the
implementation of PPP in construction projects. The study is a literature review/ survey on the
challenges faced with the implementation of public private partnership in improving infrastructure
service delivery on projects. The study is conducted with reference to existing theoretical literature,
published and unpublished research based on international context. However, the challenges
specifically are based on literature in Swaziland to identify the challenges they face and the way
forward. Other scholars'works were critically examinedtodeterminethe views on the subject. The
research revealed that on the political level, there are high expectations with concerns that officials
expertise to handle PPP projects are not sufficient, Private sector stakeholders were concerned about
the possible dominance of foreign companies. Moreover, labour feared negative consequences for
workers, and part of financial sector did not see enough opportunities for PPP in Swaziland. Lack of
common understanding and coordination, insufficient planning capacity and structuring support were
amongst the challenges faced by PPP in Swaziland.The study will assist the Swaziland Construction
Industry in improving their services in terms of delivering construction project timeously since
particular strategies can be developed to overcome the identified challenges.
Keywords: construction projects, infrastructure, public-private partnerships, Swaziland

22
1. Introduction
Literature revealed that most countries are experiencing backlog in infrastructural service delivery and
this has a negative impact on the economy and the residents of the country (Greve and Hodge, 2005).
Most countries have been doing their best to come up with solutions to this challenge and PPPs is one
of the solutions being adopted (Asmati, 2010, Babatunde and Opawole, 2012 and Greve and Hodge,
1Ph.D. Student; Department of construction management and quantity surveying;

University of Johannesburg, P.O. Box 17011,
Doornfontein, 2028, Johannesburg, South Africa; Email:[email protected]
2Professor, Department of construction management and quantity surveying; University of Johannesburg; P.O. Box 17011,
Doornfontein, 2028, Johannesburg, South Africa; Email: [email protected]

3Professor, Department of construction management and quantity surveying; University of Johannesburg; P.O. Box 17011,
Doornfontein, 2028, Johannesburg, South Africa; Email: [email protected]
229
2005). However, PPPs is not the answer to infrastructural service backlog but it can only reduce the
challenge faced by our government (Asmati, 2010, Babatunde and Opawole, 2012 and Greve and
Hodge, 2005). PPP’s have been used in a number of countries as a means to deliver and manage public
infrastructure (Asmati, 2010, Babatunde and Opawole, 2012 and Greve and Hodge, 2005).
Many countries in Africa including Swaziland depend and rely on the developments funded by the
public sector (Asmati, 2010, Vilane et al, 2012 and Axis Consulting, 2013). According to Greve and
Hodge (2005), PPPs are loosely defined as cooperative institutional arrangements between the public
and private sectors and it has a new gained wide interest around the world. There has considerable
research work conducted, both locally and internationally, on the nature and form of PPPs (Asmati,
2010). This study would focus on the challenges faced with the implementation of public private
partnership in Swaziland.
1.1 Swaziland
Swaziland is very small country. It is heavily dependent on its neighbours for access to the sea, to the
markets and to outside suppliers (Mashwama et al, 2016). Swaziland’s population is estimated at around
1.4 million. Swaziland is Africa’s last monarchy, ruled by King Mswati III, subject to constitution of
2005. The constitution involves some democratic element and protection of human right (Mashwama
et al, 2016). The Kingdom is divided into four districts namely Hhohho, Manzini, Lubombo and
Shiselweni District. The capital city is Mbabane in the Hhohho District with a population of around
100,000 (Thwala and Mvubu, 2009).
1.2 Swaziland construction industry
The construction industry (CI) in Swaziland is a key component of economic growth. For the
developing countries the construction industry plays even a greater role in development and poverty
alleviation by providing access to basic services and transport facilities (Mashwama et al, 2016). The
construction companies operating in Swaziland range from small local contractors to major companies
with the capability to carry out highly specialised projects. The large contractors employ about 20,000
people. The range of work undertaken in the construction industry covers small buildings, multi-level
projects, roads, dams and infrastructure. Therefore, the CI is a key source of work and income in the
Kingdom. The overall contribution to the Gross Domestic Product (GDP) by the construction industry
was 5.8% in 2002, but it has dropped down to 2.8% in 2013 (Swaziland Business year book 2002,
Central bank of Swaziland). Government is the major client in the construction industry of Swaziland.
The ministry of Public Works and Transport is the Government’s implementing agency on behalf of all
ministries with regard to all construction capital projects (Mashwama et al, 2016). The Swaziland
Government through the ministry of Public Works and Transport also has a responsibility to educate
contractors and subcontractors about government’s expectations of the quality of work; the process of
tendering and the information required (Thwala and Mvubu, 2009). The Government of the kingdom
of Swaziland, through its 25- year National Development Strategy has identified the construction sector
as a priority area to provide the impetus on improve the social and economic development of the
country. However, the Agriculture industry is the one that leads by contributing more to the economy
of the country.
230
2. Theoretical overview of Public Private Partnership (PPP)
2.1 Definition of Public Private Partnership
There is no common definition for the concept of public private partnerships, as it is usually defined in
relation to the various forms it assumes (Boardman, Greve and Hodge, 2010). PPP is defined as any
medium to long-term relationship between the public and private sectors, involving the sharing of risks
and reward of multi-sector skills, expertise and finance to deliver desired policy outcomes (Delloite,
2010). The World Bank (year) defines PPP by looking at various key elements such as the existence of
a partnership style approach to the provision of infrastructure as opposed to an arm’s-length “supplier”
relationship (The World Bank, 2007). Both parties take either individual or joint responsibilities; risk
sharing, reward and value for money (The World Bank, 2007). PPP is defined as a collaborative
arrangement over one or more phases of the life cycle of a project between a government or its agency
and one or more private sector parties. The rights and responsibilities are innovatively specified, with
the elements of sharing risks and rewards in a long-term contractual relationship (Manchidi and
Merrified, 2001).
2.2 Types and forms of PPPs
There is rich information coming out from literature in categorizing various forms of Public Private
Partnerships (Chib et al., 2009). It has been stated earlier that lack of uniformity in the definition of the
concept of PPP is as a result of the different forms of PPP models (UNESCAP, 2007). Literature reveals
that various institutions and authors choose to classify different modes of PPP based on their
understanding. However, the most common PPP modes found in various literatures include, amongst
others, the following:
 Build-Operate-Transfer (BOT). The arrangement involves the transfer of responsibility for

constructing, financing and operating a single facility to a private sector partner for a fixed period
of time. At the end of that period, the responsibility reverts to the public entity (Fastrich and
Girmscheid, 2007; Alfen et al, 2009, Vilane et al., 2012).
 Design-Build-Finance-Operate (DBO). The service provider is usually responsible for financing
the project during construction. The government purchases the asset from the developer for a pre-
agreed price prior to commissioning and takes all ownership risks from that time (Manchidi, et
al,2006, Vilane et al, 2012, Houghton, 2011 and Koning, 2007).
 Build-Operate-Own (BOO). It involves the granting of ownership rights in perpetuity to develop,
finance, design, build, own, operate and maintain an asset. The private sector own the asset
outright and retains the ownership and operating revenue risk, with no transfer to the public sector
(Alfen, et al, 2009 and Vilane et al, 2012).
The PPP models can therefore vary from short-term simple management contracts to long-term very
complex contracts, based on ownership of the capital assets, responsibility for investment, assumption
of risks, and duration of contract.
2.3 The rationale for the establishment of public private partnerships
The Government of Swaziland is currently facing challenges in infrastructure development and public
service delivery. Moreover, the government has made slow progress in addressing the infrastructure
231
gap due to low implementation rate of capital projects, low economic growth rate and the most recent
cash flow challenges faced, not only by Swaziland but by international economies as well (Axis
Consulting, 2013). Inadequate infrastructure is a constraint on growth worldwide, and particularly in
developing countries. Infrastructure services are often inadequate to meet demand, resulting in
congestion and they are often of low quality or reliability, while many areas are simply un-served
(Ntshangase, 2002; Bovis 2010). This poor infrastructure performance especially in delivering
construction projects reflects universal challenges facing governments (Bovis, 2010 and Rilley and
Kraft 2010). Literature reveals that poor planning and coordination, weak analysis underpinning project
selection, pursuit of political gain, and corruption, means that the limited resources are often spent on
the wrong construction projects (Babatunde and Opawule, 2012; Fastric and Girmsheid, 2007 and
Ntshangase, 2002). Furthermore, according to Manchidi et al (2006) and Vilane et al, (2012), there are
fiscal constraints, which hinder the implementation of infrastructure projects and thus a need arises to
overcome these challenges. One of the ways to overcome the challenges in infrasturtrue delivery is
through PPPs as suggested by Manchidi et al (2006) and Vilane et al. (2012), who stated that given the
fiscal constraints in Swaziland, Public-Private Partnerships are discussed as an alternative method of
realizing infrastructure delivery and supplementing public sector resources.
Many authors and institutions have spent considerable amount of time in explaining and providing
motivations for the existence of PPPs in various parts of the world, including Swaziland (Akintoye et
al., 2003 and Vilane et al, 2012). The most common reason provided by many authors is the reality of
lack of government budget to fund public infrastructure service delivery, and as a result they seek
partnerships with the business/private sector to achieve this objective (Vilane et al., 2012, Manchidi
and Merrified, 2001; Deloitte, 2010; Alfen et al., 2009). With the great number of priorities competing
for public funds, governments are pressed to create more avenues to fund and meet infrastructure needs
(Deloitte, 2010).
One of the key political drivers behind the PPP is the desire to improve the nation’s infrastructure and
supporting public services without placing undue strain on scarce public funds and without having to
increase taxation (Axis Consulting, 2013 and Alfen, et al, 2009). Other reasons for the adoption of PPP
model by various governments include; skills transfer by the private sector to the public sector and
achieving greater efficiency by limiting the usually lengthy government bureaucracy. The public sector
is usually rich in human resources but lacks in expertise whereas private sector has more expertise but
lacks in human resources (Asmat, 2010). The private sector can often react more quickly, as there is no
bureaucratic hierarchy for decision making (Asmat, 2010). These views were expressed in an article by
Matsapha (2017), in which it was remarked that Swaziland could reach first world status if only they
could adopt the right approach to budgeting such as the PPP. The article further revealed that the
performance of ministries tasked with disburding funds to finance public projects was poor and thus the
need for PPPs is great.
PPPs can mobilize additional sources of funding and financing for infrastructure and they can help
improve project selection, subjecting assumptions to the market test of attracting private finance
(Rogerson, 2010, Wettenhall, 2003, Vilane et al, 2012 and Bovis, 2010). Countries with relatively long
PPP histories have found that PPPs manage construction better than traditional procurement, with
projects coming in on time and on budget more often (Bovis, 2010). PPPs can also help to ensure
adequate maintenance and keep assets in a serviceable condition (Rogerson, 2010 and Rilley and Kraft,
2010). Delivered PPP projects are also of good quality. (Axis consulting, 2013 and Vilane et al, 2012).
Some of the projects that were delivered successfully in Swaziland, include the following:
232
 Uniswa Housing, where Swazi MTN partnered with the University of Swaziland and took
centre stage in providing finance for the designated capital projects at the school (Observer,
2013).
 Manzini shopping mall, which was provided to improve the socio-economic use of the land on
which the development was undertaken and to complement other recent development within
the city (Zwane, 2015). The project was developed under a PPP where the municipal council
of Manzini issued public notice inviting expressions of interest and following a bidding process,
the Manzini trade centre successfully entered into a PPP with the council.
However, the above projects among others, also faced some challenges including cost overruns, lack of
policy direction, unstable governments, and so on. These are discussed further in the following section.
2.5 Challenges faced by PPPs in Swaziland

Every partnership of any kind comes with challenges and obstacles that might be a threat to success of
the vision they have. Review literature shows that PPPs are faced with a lot of challenges when it comes
to its implementation to deliver services in Swaziland (Axis consulting, 2013, Vilane et al, 2012 and
Delloite, 2010). PPP implementation in the Kingdom of Swaziland has faced various challenges such
as:
2.5.1 Lack of highest level policy direction
PPPs are lacking at the highest levels of leadership at government level. The management of PPPs from
government level does not provide clearer and more predictable intent on when and why to do PPPs in
general, and in specific sectors (Vilane et al, 2012). According to David Wright in a proceeding held at
Ezulwini Royal hotel states that the PPP projects should be those the country needs the most and should
be beneficial to the community as a whole”.
2.5.2 Lack of consistent political resolve
Reviewed literature states that political leadership shows inconsistent commitment to PPPs.
Commitment to PPPs suffers from the fact that policy on PPPs changes with changes in political
leadership (Vilane et al, 2012).
2.5.3 Lack of Resources dedicated to fostering public private partnerships
The resources to do all that is needed to be done to foster successful PPPs are lacking in Swaziland.
Less resources are devoted to promoting PPPs and building capacity within line departments or
ministries and municipalities to implement PPPs (Axis Consulting, 2013).
2.5.4 Policy bias toward traditional public procurement
Literature revealed that traditional public procurement of infrastructure services is the default choice in
most countries in the world (Vilane et al, 2012). Ministries must therefore, decide first if they want to
consider a PPP for a given project and then prove that a PPP would provide more value-for-money than
traditional government procurement (Axis Consulting, 2013).
233
2.5.5 Conflicting interests of parties
According to the United Nations HABITAT (2011), PPP arrangements are challenged with drastically
different interests as a result of parties from different backgrounds, along with differing strategic and
operational realities. As a result, relationships need to be built, otherwise projects might fail. The failure
of many alliances can be traced to the partner selection and planning stages (UN-HABITAT, 2011).
Other challenges encountered in successful realisation of a PPP configuration in Swaziland include:

 Swaziland has not adopted a specific PPP legislation and these seems to be a general lack of
understanding of the term PPP;
 Lack of experience- when executing complex projects from the government sector;
 Poor tender process from the government sector;
 Insufficient planning capacity as well as structuring support from the government sector;
 Lack of capital and business training for outsourced employees remain a bottleneck;
 Limited possibilities for local participation;
 Lack of competition (Natural monopoly) and political commitment to set cost recovery tariffs
 Lack of funding due to government being bad payer, for example E2,8BN was owed to a private
sector after a partnership with the government, hence the private sector they discouraged to do
the partnership because it could lead to collapsing of the financial system, risking depositors
funds in the process (The times of Swaziland, 2012).
 the long-term planning horizon;
 the complexity of various projects;
 the institutionalized competition rules for public projects;
 the hold-up problem caused by a change in the position of partners;
 a technocratic implementation;
 Lack of information:
 reductionist measures instilling competitive norms instead of cooperative ones; and
 Cultural differences between private and public partners (Axis Consulting, 2013).
 Project development: The project development activities such as, detailed feasibility study, land
acquisition, environmental clearances etc., are not given adequate importance by the
concessioning authorities (Grimsey and Lewis, 2004).
 Lack of institutional capacity: The limited institutional capacity to undertake large and complex
projects at various central ministries and especially at state and local bodies’ level hinder the
translation of targets into projects (The times of Swaziland, 2014).
 Financing availability: The private sector is dependent upon commercial banks to raise debt for
the PPP projects. With commercial banks reaching the sectoral exposure limits, funding the
PPP projects is getting difficult (Vilane, et al, 2012).
Literature revealed that regulatory environment must be in place in order to attract more domestic and
international private funding of infrastructure, a more robust regulatory environment, hence an
independent regulator, is essential (The Times of Swaziland, 2012 and Grimsey and Lewis, 2004).
The research was conducted with reference to existing theoretical literature, published and unpublished
literatures from online journals, magazines, Times of Swaziland, Conferences, Proceedings
dissertations. Articles from google scholar, ASCE library, Emerald were used. A total of 41 articles
234
were reviewed/ used and they were all relevant to the subject matter PPP. The study is mainly a literature
survey/review and looks at the literatures relating to public private partnership in the construction
industry. This is because, the challenge inherent in PPP arrangements also arises from the notion of
building new relationships between actors that have drastically different interests and are from different
backgrounds, along with divergent strategic and operational realities. The current methodology falls
within the qualitative research methodology (Neuman, 2000 and Leedy, 1989).
4. Lessons Learnt
Literature revealed that Swaziland, depend and rely on the developments funded by the public sector
thus bringing financial constrain to the economy (Greve and Hodge, 2005 and Axis Consulting, 2013)).
Inadequate infrastructure is a constraint on growth worldwide, and particularly in developing countries.
Infrastructure services are often inadequate to meet demand, resulting in congestion and they are often
of low quality or reliability, while many areas are simply un-served (Axis Consulting, 2013, Bovis 2010
and Ntshangase, 2002). This poor infrastructure performance reflects pervasive challenges facing
governments of Swaziland (Manuel, 2007, Vilane et al., 2012; Bovis, 2010;). Reviewed literature
reveals that Swaziland has not adopted a specific PPP legislation and there seems to be a general lack
of understanding of the term PPP; Lack of experience- when executing complex projects from the
government sector; Poor tender process from the government sector; Insufficient planning capacity as
well as structuring support from the government sector.
Furthermore, Lack of capital and business training for outsourced employees remain a bottleneck;
Limited possibilities for local participation; Lack of competition (Natural monopoly) and political
commitment to set cost recovery tariffs were also the major challenges faced by the implementation of
PPP in Swaziland. Moreover, Lack of funding due to government being bad payer, for example E2,8BN
was owed to a private sector after a partnership with the government, hence the private sector they are
discouraged to do the partnership because it could lead to collapsing of the financial system, risking
depositors funds in the process (Axis Consulting, 2013 and Vilane et al, 2012); The long-term planning
horizon; The complexity of various projects; The institutionalized competition rules for public projects;
The hold-up problem caused by a change in the position of partners; A technocratic implementation;
Lack of information: reductionist measures instilling competitive norms instead of cooperative ones;
and Cultural differences between private and public partners (Axis Consulting, 2013).
In addition, project development activities including detailed feasibility study, land acquisition,
environmental clearances etc., are not given adequate importance by the concessioning authorities
(Grimsey and Lewis, 2004). Lack of institutional capacity: The limited institutional capacity to
undertake large and complex projects at various central ministries and especially at state and local
bodies’ level hinder the translation of targets into projects (Axis Consulting, 2013) were amongst the
challenges in Swaziland. Financing availability: The private sector is dependent upon commercial banks
to raise debt for the PPP projects. With commercial banks reaching the sectoral exposure limits, funding
the PPP projects is getting difficult (Vilane, et al, 2012). poor planning and coordination, weak analysis
underpinning project selection, pursuit of political gain, and corruption, means that the limited resources
are often spent on the wrong projects (Axis Consulting, 2013 and Vilane et al, 2012) were key
contributors to hindrance of ppp implementation. One of the key political drivers behind the PPP is the
desire to improve the nation’s infrastructure and supporting public services without placing undue strain
on scarce public funds and without having to increase taxation (Axis consulting, 2013 and Alfen, et al,
2009). Other reasons for the adoption of PPP model by various governments include amongst others;
235
skills transfer by the private sector to the public sector and achieving greater efficiency by limiting the
usually lengthy government bureaucracy. Public sector is usually rich in human resources but lacks in
expertise whereas private sector has more expertise but lacks in human resources (Asmat, 2010). The
private sector can often react more quickly, as there is no bureaucratic hierarchy for decision making
(Vilane et al, 2012 and Asmat, 2010).
5. Conclusion
This article has examined literature relating to the challenges faced with the implementation of Public
Private Partnership in construction projects. Through PPP, Both the private and public sector stand to
benefit and public sector is able to leverage private sector resources for infrastructure development,
improvement and maintenance. The public sector is able to tap into private sector efficiencies and also
benefit from the skills transfer from the private sector. Moreover, the Private sector gets an opportunity
to influence and introduce changes and innovations to traditional Government methods both for
infrastructure development and service delivery because PPP’s are based on output on the output and
the process is left to the private sector. From the above challenges revealed by the literature Swaziland
must have a strong political commitment to policy implementation, Adopt a legal fame work; Ensuring
that private sector participants are able and willing to participate in the processed sponsored by
government and they must provide necessary services and capital for the Government. Transparency
and accountability is encouraged.
6. Recommendations for Further Studies
The concept of PPP is relatively new in the functioning of the Swaziland economy, and therefore, it
will require further research which will seek to closely examine on how the PPP initiatives can be
entrenched as a reliable mode of delivering effective service delivery. Further research should also be
conducted in assessing the approach and attitude of government institutions towards the PPPs, and
thereby measuring the involvement of PPPs in the broader government infrastructure development
projects. If indeed PPPs are perceived as an effective and efficient means of delivery infrastructure, it
will be interesting to see as to what extent PPPs are involved in the overall government infrastructure
development programme.
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DII 2017-053
Centralised vs. Decentralised Electricity Generation in

Zambia: Sustainable Options in the Context of Climate
Disturbances
Malik Ismail1, Madeleine McPherson2, Murray R. Metcalfe3
Abstract
This paper utilises methodology and results outlined in a previous paper to investigate the feasibility of
a hybrid large scale centralised and residential solar photovoltaic (PV) approach to address the rapidly
growing electricity demand in Zambia and the electricity deficit caused by droughts due to climate
disturbances. It was found that the best centralised generation approach prioritised solar projects with
the highest generation/cost ratio, producing power at US0.042/kWh, which is comparable with existing
hydro generation costs of USD0.02-USD0.03/kWh. For decentralised generation, the solar PV
generation potential of Lusaka, Zambia’s capital was analysed. In particular, the ability of on-grid and
off-grid rooftop PV to meet the deficit was assessed, and it was found that a fully decentralised approach
is not economically feasible, as it costs between 6 and 12 times as much as existing generation per
kilowatt-hour. Finally, a series of hybrid centralised-decentralised scenarios were considered, and the
70% centralised, 30% decentralised approach was found to best address Zambia’s electricity shortage.
Not only would the cost of power be affordable, but it would also have a quicker implementation time,
greater consumer autonomy and ease of planning, more diverse sources of funding, and would enable
Zambia to become a continental leader in renewable energy.
Keywords: centralised and decentralised generation, climate change, renewable energy, rooftop solar
PV, Zambia
23
1. Introduction
The current paper brings together three discrete fields - centralised vs. decentralised generation, the
estimation of urban rooftop potential, and economic and political feasibility – for application in Zambia
in the context of climate change and drought. It investigates summarizes two energy alternatives, large
scale centralised generation and residential solar PV, to augment the existing energy infrastructure in
Zambia and address both the rapidly growing electricity demand and the electricity deficit caused by
droughts due to climate disturbances. Specifically, it strives to answer the question of what respective
roles can centralised and decentralised generation play in Zambia as the impact of climate change
becomes increasingly evident??
1Undergraduate Student; Engineering Science; The University of Toronto; Toronto, Canada; [email protected]
2PhD Student; The Department of Civil Engineering; The University of Toronto; Toronto, Canada;
[email protected]
3Professor, Faculty of Applied Science and Engineering; The University of Toronto; Toronto, Canada;
[email protected]
240
A previous paper by the same authors (Ismail, et al., 2017) outlines the methodology and results used
for this paper (referred to below as “the Methodologies paper”). This paper also builds on analysis
conducted by McPherson and Ismail (McPherson & Ismail, 2017), which analyzed the generation
potential of both rooftop solar in Lusaka and centralised solar and wind sites. Furthermore, this paper
presents part of the research work contained in the University of Toronto Engineering Science thesis by
the lead author (Ismail, 2017). The thesis contains additional references used as background in this
research.
This paper conducts an analysis of whether a centralised, decentralised, or hybrid solution is the most
effective way of mitigating Zambia’s electricity shortage in addition to existing generation. The first
part of the analysis discusses the economics of the two options, considering cost of power produced,
investment costs required, transmission infrastructure costs, amongst others. The second part of the
analysis explores a hybrid centralised-decentralised solution, and will examine its political and
socioeconomic impact.
2.1 Centralised generation scenarios
The first approach was to determine the most effective centralised generation solution to Zambia’s
shortage. 9 scenarios were considered to deduce the best approach to a large, centralised generation
solution in 2015, 2020 and 2030. An in-depth description of these scenarios and the analysis conducted
can be found in the Methodologies paper.
By comparing project cost, generation dispersion, average deficit, and resource quality, Scenario E1 is
the recommended approach to address the deficit between 2015 and 2030, as it will enable the country
to most effectively minimize the economic impact of a generation shortage over the next 15 years.
Additionally, given the deficit relief that additional generation in 2020 provides, capital investments in
new centralised renewable generation projects can be staggered, giving the government time to secure
contracts with international developers and banks. It also gives them time to develop and implement
the necessary policies and regulations.
Under Scenario E1, and given the assumptions stated in the Methodologies paper, the cost of power
was determined to be $0.042/kWh when considering entire cost of the scenario (project cost and
transmission costs). If only the project costs are considered, the cost of power was calculated to be
$0.035/kWh, which is comparable with existing centralised hydro generation costs between $0.02/kWh
and $0.03/kWh (International Renewable Energy Agency, 2013). Regardless, Scenario E1 would be
highly profitable to a developer, assuming they receive a purchasing-power agreement of $0.06/kWh
from the Zambian government.
2.2 Rooftop solar
The ability of solar home systems in Lusaka to address Zambia’s generation deficit was also explored.
The Methodologies paper considered two configurations for decentralised rooftop solar – grid
connected and non-grid connected. The total cost and the cost of power of various configurations of
centralised and decentralised rooftop solar scenarios were examined. A detailed description of the
scenarios considered and the determination of their costs can be found in the original paper. It was
241
determined that a solely rooftop solar approach to addressing Zambia’s electricity deficit was too
expensive, costing between 6 and 12.5 times more than conventional electricity sources in Zambia.
Furthermore, urban electrification is a resource intensive, arduous and slow process, and therefore there
would likely be delays in its implementation. During this extended execution period, Zambia’s deficit
will remain, which will continue to hamper its economy, and will be only be slightly offset by the
operation of additional hydro and coal generation by 2020. Therefore, decentralised solar in Lusaka
alone cannot effectively address Zambia’s generation shortage. Thus, there are two options: to solely
use large, centralised, renewable energy generation sites or use a hybrid generation scheme involving
rooftop solar and large centralised projects. The latter will be explored in Section 2.3, which discusses
the cost and the socioeconomic impact of the possible approaches.
2.3 Hybrid generation scenario
The hybrid generation scenarios considered three combinations of centralised and decentralised
generation – 70% centralised and 30% decentralised (70/30), 50% centralised and 50% decentralised
(50/50), and 30% centralised and 70% decentralised (30/70). The centralised generation component
assumed the E1 approach, which was identified as the most effective solution in Section 2.1. The
decentralised component assumed that all of Lusaka’s load would be supplied through off-grid solar
PV, with the remaining national demand being provided by on-grid decentralised generation. Thus, for
each scenario, although the percentage contribution of on and off-grid changed, the deficit addressed
by off-grid was the same. Justification for these assumptions as well as a detailed comparison of the
hybrid generation scenarios can be found in the Methodologies paper.
Zambia has the resources needed to address its generation shortage, they just need to be cultivated in
the most effective manner. From a purely cost of power basis, a 100% centralised generation solution
is the clear-cut choice - consistent with other findings, centralised generation is invariably cheaper than
decentralised generation (Taylor & So, 2016). However, there are other factors that must be considered
in addition to cost of power, most notably the time required to implement the generation projects,
consumer autonomy, ease of planning and sources of funding.
2.3.1 Beyond the costs - a case for the 70/30 scenario
Considering the factors mentioned, the 70/30 scenario (70% centralised, 30% decentralised) is not only
the best approach, but enables Zambia to provide cheap power in the short term while also helping to
lay the groundwork for greater urban electrification in the future. In this scenario, approximately 90%
of decentralised generation would be off-grid with the remaining 10% being on-grid.
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70/30 Hybrid Scenario Load and Generation Profile, 2015-
2030
40000
30000
GWh
20000
10000
0
2015 2020 2030
Load Hydro (L) Hydro (S)

Coal Solar (Centralized) Solar (Decentral., On-Grid)
Solar (Decentral., Off-Grid) Net Surplus
Figure 4: 70/30 Hybrid Scenario Load and Generation Profile, 2015-2030
Zambia Annual Generation Zambia Annual Generation

Output Mix with the 70/30 Output Mix with the 70/30
Scenario, 2015 Scenario, 2030
Hydro (L)
Hydro (L)
Hydro (S)
1% 6%
1% Coal
12% Hydro (S)
15%
38%
Solar
(Centralized) 15% Coal
32% 62%
Solar
15% (Decentral.,
2% On-Grid) 1%
Solar Solar
(Decentral., (Centralized)
Off-Grid)
Figure 5: Zambia Annual Generation Output Mix with the 70/30 Hybrid Scenario. 2015 (left),
2030 (right)
Implementation Time
Due to the severity of Zambia’s impending generation deficit and its economic impact, additional
generation must be deployed quickly. Although new hydro and coal projects by 2020 will partially
mitigate Zambia’s deficit, there will still be a significant deficit, which is detrimental to Zambia’s
economy. The 70/30 scenario enables a quick deployment of off-grid decentralised generation (< 1
year) to partially mitigate Zambia’s deficit immediately without compromising on the ability to generate
cheap power from large, centralised solar. The deployment of large-scale fully-centralised generation
takes at minimum two years, due to the financing, site surveying, project and transmission infrastructure
construction necessary, even with the expedited World Bank’s Scaling Solar Program. Off-grid
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decentralised generation, on the other hand, is significantly faster to implement, with a household
rooftop installation taking approximately 3 days (Maehlum, 2014). Although Lusaka’s electricity
demand only represents 12% of Zambia’s total electricity, off-grid solar home systems can still cut the
national deficit in half in 2020. This would save Zambian government a significant amount of money
that would otherwise be spent on importing electricity and reduce the effect on the country’s GDP. The
70/30 approach would promote this rapid mitigation via off-grid solar panels, and is clearly
advantageous over a fully centralised approach which would take at least two years to implement.
Consumer Autonomy
Zambia’s electricity infrastructure has historically been unreliable, with frequent shortages and high
power losses (International Renewable Energy Agency, 2013). Through the 70/30 approach, having an
off-grid decentralised rooftop solar component gives Lusaka homeowners and businesses autonomy in
Zambia’s economic capital, building urban electricity resilience. This reduces the impact of electricity
shortages on the economic capital of Zambia, and thus on the country’s GDP. Furthermore, it gives
these owners financial independence as they are no longer paying a monthly electricity bill on a national
level, and instead are only paying for their solar panel. Additionally, by off-setting electricity demand,
additional electricity can be given to the manufacturing sector, leading to a more optimized rationing
of electricity to further minimize economic impacts and keeping large-manufacturers, such as Good
Time Steel, profitable. A fully centralised or on-grid decentralised approach would provide little to no
autonomy for homeowners and businesses, as they would be fully dependent on the grid to supply
reliable electricity.
Ease of Planning
Planning national and urban electricity infrastructure can be extremely complex. However, through the
utilization of centralised, off-grid decentralised, and on-grid decentralised generation through the 70/30
approach, this complexity is minimized relative to the other scenarios considered for several reasons.
Firstly, the centralised component of the solution enables the government of Zambia to leverage
learnings from its experiences with the World Bank’s Scaling Solar program to more effectively and
expediently plan transmission infrastructure and site development. Furthermore, if the government
takes a holistic national transmission approach with an eye on the future, this planning process can help
engender long-term energy policy centered on renewable generation that can help to develop the
necessary infrastructure for Zambia to become a leader in centralised renewable generation in Southern
Africa. Additionally, from an investment perspective, the development of viable energy policy and
plans will attract additional foreign investment into Zambia, which furthers the country’s growth
potential (Kyambalesa, 2009). Moreover, included in these policies can be a mandate for local
universities regarding the proliferation of technical energy talent, which can give Zambia significant
knowledge capital in sub-Saharan Africa.
Secondly, the 70/30 approach utilizes off-grid decentralised solar, which is extremely easy to plan - it
requires a home or business owner to assess their property, compare panels and battery storage units,
and install the system. This process is quick and inexpensive, enabling approximately half of the
electricity deficit to be off-set expediently by 2020.
244
Thirdly, due to the relatively easy planning of the centralised generation and off-grid decentralised solar
and their ability to address the shortage in 2020, minimal pressure is placed on grid-connected
decentralised solar to generate electricity immediately, and instead encourages the government to take
the necessary time to properly conduct urban distribution planning studies and develop the requisite
policy, both of which can be significantly. Furthermore, because only 3% of new generation would
come from grid-connected decentralised solar, a lower penetration rate would be required compared to
other scenarios.
To conduct planning most effectively for the 70/30 scenario, a holistic and long-term approach must be
taken. This necessitates politicians to prioritize and publish legislation and plans that addresses
Zambia’s energy needs over the coming decades. It also requires governments and institutions on a
municipal and national level to come together and agree on a course of action for the future. This means
that the public, municipal and federal governments should agree on an appropriate budget and policies
for long term urban electricity planning, which would further increase Lusaka’s infrastructure capital.
Furthermore, technical studies should be done to identify the protective electrical assets (e.g. reclosers),
new substations and transformer stations, the requirements for an enhanced system operating unit, and
the optimal location of transmission and distribution lines and their routes.
Cost of Power
Although off-grid decentralised solar is quicker to plan and implement, it is significantly more
expensive. Solar panels with storage cost approximately $10/W, while those without storage cost $6/W
not including the cost of connection to the grid in comparable African countries (Taylor & So, 2016).
Utility scale solar costs between $1-$2 per watt, yielding an immense difference in the cost of power -
utility scale solar would cost 4.2 cents per kilowatt-hour which is comparable with existing hydro and
coal generation, whereas a fully decentralised solar system with storage would cost nearly 30 cents per
kilowatt- hour - almost a 10-fold increase. Through the 70/30 scenario, there would be two separate
ways to purchase power: coupled large centralised solar and on-grid rooftop solar, and off-grid
decentralised solar panels through consumer owned solar panels. This approach enables those who can
afford solar panels to deploy them, simultaneously mitigating the national energy deficit, while ensuring
that the population at large has access to cheap electricity via grid-connected generation.
For the majority of Zambians, who can’t currently afford their own solar panels, grid connected
generation would cost at most 4.7 cents/kWh, but will likely be closer to 4.2 cents/kWh since grid-
based generation will be entirely centralised solar, hydro, and coal until 2020 through the 70/30
scenario, as discussed previously. The introduction of grid-connected decentralised solar after 2020 will
likely become more affordable than current costs as the mass production of solar panels in emerging
markets such as China becomes more ubiquitous. For owners who can afford off-grid solar panels,
although they will be initially paying more for power, they are also paying for autonomy and reliability,
which for homes and businesses in Lusaka has a major impact on quality of life (International
Renewable Energy Agency, 2013).
Sources of Funding
Given the immense investment required to address Zambia’s generation shortage, multiple sources of
funding are imperative. The 70/30 approach enables Zambia to leverage its existing network of
investors while also diversifying funding sources to minimize the cost to tax-payers.
245
For the centralised solar generation component, it can be assumed that the funding process and sources
would be similar to the recently announced First Solar project, and would primarily be through the
World Bank’s Scaling Solar program (International Finance Corporation, 2016). In this case, the
Zambian government would pay solar developers, such as First Solar, a very attractive 25-year
purchasing power agreement (PPA) at a fixed rate of 6c/kWh for the entirety of the contract
(International Finance Corporation, 2016). The developers would then be responsible for acquiring
financing and constructing the project (International Finance Corporation, 2016). Finding investor and
developer partners should be an expeditious process given that there are several who have shown
significant interest in developing large, centralised solar projects in Zambia (Scaling Solar, 2017).
Regarding the financing of transmission infrastructure, it is likely that the Zambian government would
pay, as this would be a state asset. This financing will likely be a reallocation of tax dollars from
purchasing imported electricity to investing in Zambia’s long-term future and creating jobs.
Alternatively, since the policy and federal budgets necessary to nationally finance transmission
infrastructure can take a significant amount of time, the government could look at taking loans from the
World Bank or privatizing their transmission infrastructure to expedite construction.
For the grid-connected rooftop solar, if the Zambian government adopts a feed-in tariff (FIT) contract
approach, then home and commercial owners would purchase and finance their solar panels themselves
and the government would pay the owners for the electricity they produce on a per kWh basis. These
payments would come from tax dollars and appropriate legislation would need to be implemented for a
standardized national FIT program. Additionally, urban distribution infrastructure would have to be
constructed and financed, likely by the government.
In the case of off-grid SHS, residential and commercial owners would pay for their system entirely and
wouldn’t receive any contract from the government. The government could provide subsidies and fund
a solar advertising program to promote the use of off-grid solar panels in Lusaka.
Additional Benefits
There are additional benefits accrued through the 70/30 scenario, primarily the creation of a solar PV
marketplace and Zambia becoming a regional leader in renewable energy.
Firstly, through the introduction of off-grid rooftop solar panels to address Lusaka’s load, a marketplace
for rooftop solar PV panels will be created in Zambia, which reduces their price, as seen in the United
States, making it more affordable to the general consumer (Barbose & Darghouth, 2016). Additionally,
the creation of a marketplace enables additional suppliers to enter the market, driving up competition
and driving down price consumer (Barbose & Darghouth, 2016)(Melitz & Ottaviano, 2008).
Furthermore, it augments existing measures taken by the Zambian government to increase
electrification rates within Lusaka, as a marketplace would establish credible vendors and enable the
government to test solar PV policy, thus reducing their learning curve. As discussed previously, to do
this most effectively the government of Zambia should implement a program advertising the benefits
of rooftop solar, which has been proven to further drive demand for solar home systems consumer
(Barbose & Darghouth, 2016). These measures would subsequently enable more citizens to afford solar
panels, thus improving electrification rates more rapidly.
Secondly, the 70/30 approach would enable Zambia to become a continental leader in renewable
generation, both on a centralised and an urban scale. It would enable Zambia to have the first city in
246
Africa to be entirely powered by rooftop solar while also having one of the largest aggregate renewable
generation capacities in the continent. This would only further attract investment and make Zambia an
expert in this sector, increasing an already rapidly growing GDP. Furthermore, due to the technical
nature of these projects, their development would increase the knowledge capital in Zambia for
renewable energy, which would create more demand for Zambian talent in Africa due to the rapid
proliferation of renewable technologies.
3. Conclusion
Given the dependency of Zambia’s electricity system on hydro-generation and the increasing impact of
climate change on the country’s levels, Zambia has been subject to prolonged droughts yielding
significant electricity deficits and hampering an already fragile economy. This paper recommended that
a hybrid approach of 70% centralised solar generation and 30% decentralised solar generation (90%
off-grid and 10% on grid) would be the most effective in addressing Zambia’s electricity deficit between
2015 and 2030. Doing so would not only alleviate the energy crisis, but would lay the framework for
Zambia to rapidly electrify its capital city and become a continental leader in renewable energy.
This paper assumed that Zambia will experience 15 consecutive dry years between 2015 and 2030,
immensely hampering hydro generation. Although this is unlikely, research has shown that weather
events in the Sub-Saharan Africa region will be more drastic, with more intense precipitation occurring
over shorter periods and prolonged dry seasons. Therefore, sustained shortages will still occur and will
need to be addressed for the country’s economic and social health. Although this research will likely
not directly influence policy, it might initiate discourse around the most sustainable and effective ways
for SSA countries heavily impacted by climate change, such as Zambia, to address electricity shortages
and holistically build robust energy infrastructure. Doing so would enable these countries to minimize
the economic impacts of climate extremes.
References
Barbose, G. and Darghouth, N., 2016. Tracking the Sun IX: The Installed Price of Residential and Non-
Residential Photovoltaic Systems in the United States, s.l.: Lawrence Berkeley National Laboratory.
International Finance Corporation, 2016. Scaling Solar Delivers Low-cost Clean Energy For Zambia.
[Online] Available at:
http://www.ifc.org/wps/wcm/connect/news_ext_content/ifc_external_corporate_site/news+and+event
s/news/scaling+solar+delivers+low+cost+clean+energy+for+zambia
International Renewable Energy Agency, 2013. Zambia Renewable Readiness Assessment 2013, s.l.:
s.n.
Ismail, M., 2017. Centralised vs. Decentralised Generation in Zambia: Meeting Electricity Demand in
the Context of Climate Change , s.l.: University of Toronto.
Ismail, M., McPherson, M. and R. Metcalfe, M., 2017. Methodologies for Assessing Centralised vs.
Decentralised Electricity Generation in Zambia, Toronto: Engineering Education for Sustainable Cities
in Africa, University of Toronto - Working Paper.
247
Kyambalesa, H., 2009. Pros and Cons of Chinese Investments in Zambia. [Online] Available at:
https://www.lusakatimes.com/2009/12/31/pros-and-cons-of-chinese-investments-in-zambia/
Maehlum, M. A., 2014. Solar Panels and Installation Time. [Online] Available at:
http://energyinformative.org/solar-panels-installation-time
McPherson, M. and Ismail, M., 2017. Using multi-scale modelling to understand the implications of
electric vehicles in centralised and decentralised electricity system with high renewable energy share:
the Zambian case study.
Melitz, M. J. and Ottaviano, G. I. P., 2008. Market Size, Trade, and Productivity. The Review of
Economic Studies, 75(1), pp. 295-316.
Scaling Solar, 2017. Zambia - Testimonials. [Online] Available at: http://www.scalingsolar.org/active-

engagements/zambia/
Taylor, M. and So, E. Y., 2016. Solar PV in Africa: Costs and Markets, s.l.: International Renewable
Energy Agency.
248
DII-2017-011
Biomass Pellets for Application as an Alternative Solid
Fuel in Southern Africa: A Review
Musaida Mercy Manyuchi1, Charles Mbohwa2, Edison Muzenda3
Abstract
Sub-Sahara Africa is agro based and because of this, huge quantities of agricultural waste are generated
and if left to rot are great emitters of greenhouse gases like carbon dioxide and methane. Yet this
agricultural waste has potential to be converted to biomass bio pellets, a source of energy which is
renewable and eco-friendly due to the integrated production processes mainly pyrolysis. Temperatures
between 200-600 °C are employed to come up with bio char which is compacted to bio pellets using
various technologies which include slow and fast pyrolysis as well as hydrothermal carbonisation. The
bio pellets are emission free and have calorific values ranging from 28-45 MJ/kg making them suitable
for use as a solid fuel. The adoption and application of these bio pellets in Southern Africa brings a
source of energy that promotes sustainable development.
Keywords: agricultural waste, bio pellets, energy, production methods, sustainability
24
1. Introduction
The sub Sahara Africa is agro based and agro waste that is generated on a daily basis provides a potential
for biomass pellets production. Biomass bio pellets, a domestic energy source presents a promising
renewable energy opportunity that could provide an alternative and renewable source of energy in place
of the use of fossil fuels in Southern Africa in terms of heating and cooking purposes as well as
combined heat and power generation. Biomass energy meets a major fraction of the energy demand in
both rural and urban are as of most developing countries in Southern Africa (Baruya, 2015). The use of
biomass for substitution of fossil fuels has an additional importance from climate change consideration
perspective since biomass pellets has the potential to be carbondioxide and methane neutral (Miranda
et al., 2015). The decreasing availability of fuel wood due to deforestation in most of the developing
countries has necessitated the efforts be made towards efficient utilisation of biomass bio pellets. Bio
pellets from agricultural waste can then be a complimentary source of domestic and industrial energy
in replacement to firewood, gas, coal and electricity. Straw which is one of the raw materials that can
be used for bio pellets production is shown in Figure 1.
1Energy Researcher, BioEnergy and Environmental Technology Group, University of Johannesburg, [email protected] or
[email protected]
2Professor, BioEnergy and Environmental Technology Group, University of Johannesburg, [email protected] .
3Professor, BioEnergy and Environmental Technology Group, University of Johannesburg, [email protected]
249
Figure 1: Straw which can be converted to biomass pellets (Baruya, 2015)
The production of bio pellets from agricultural waste exemplifies the potential of appropriate
technology for biomass waste utilisation; it saves trees, hence combating desertification by providing
an alternative energy for burning and 40% more efficient for domestic and industrial (Saeed et al.,
2015). Examples of agricultural waste used for bio pellets production include rice husks, baggase, wheat
straw, nut shells and pine wood agricultural waste (Saeed et al., 2015). Table 1 gives the
physicochemical characteristics of the agricultural waste used to produce bio pellets and the respective
bio pellets values. This review then focused on the assessment of the process factors affecting biomass
production as well as the process technologies involved.
Table 1: Physicochemical characteristics of agricultural waste used for bio pellets production
Biomass type Moisture (%) Ash (%) Raw material Bio pellet
calorific value calorific value
(MJ/kg) (MJ/kg)
Rice husks 7.7 17.9 15.2 32.0
Baggase 7.2 20.1 15.6 43.8
Wheat straw 6.8 22.8 14.5 41.0
Corn 11.6 3.8 16.4 28.4
Walnut shells 4.95 6.3 18.8 45.2
Pinewood 4.27 4.4 19.2 38.9
Source: Saeed et al. (2015) and Sharma et al. (2015)
250
2. Factors that encourage Bio Pellets Adoption
2.1 Socio-economic
Use of bio pellets can reduce manufacturing costs meaning greater profits for the manufacturers and
farmers or it would mean lower prices for the final users. Bio pelletizing presents many microenterprise
opportunities that include the production of the presses from locally available materials and
empowerment of communities. Bio pellets made from agricultural waste are a desirable fuel because
they produce a hot, long-lasting and virtually smokeless fire due to the densification technology (Shukla
and Vyas, 2015).
2.2 Sustainability considerations
The utilisation of agricultural waste from biomass pellets will not only help in solving the environmental
pollution problems associated with the disposal of the agricultural waste but also help in conservation
of natural resources which are fast depleting as is the case in for example coal and firewood. The use of
bio pellets also lowers greenhouse gas emissions from industries (Shukla and Vyas, 2015). Co-firing of
bio pellets with coal is also encouraged to minimize the society’s dependence on coal.
2.3 Technical considerations
Plants making bio pellets known to be operational in the developing countries and are quite successful
commercially (Shukla and Vyas, 2015).
3. Bio Pellets Production Processes
Processeslikedensificationorcompaction, pelletizing, and carbonisation (pyrolysis) are needed to

transform agricultural waste into an acceptable form of domestic, industrial and agricultural fuel. The
detailed production process for bio pellets is shown in Figure 2.
Agricultural waste can be highly compacted to form a bio pellet which takes on the burning behaviour
of coal. Due to their great density, agricultural waste bio pellets have a higher calorific similar to that
of firewood (Adapa et al., 2011). Biomass pellets can be used as an alternative to coal or wood for
domestic and industrial energy needs. The charcoal bio pellets have a higher calorific value ranging
from 20-30 MJ/kg which are comparable to wood bio pellets and agricultural waste bio pellets (Shukla
and Vyas, 2015). Figure 3 gives the various types of bio pellets from agricultural waste.
251
Figure 2: Conventional bio pellets making process (Shukla and Vyas, 2015)
Figure 3: Different types of biomass pellets (Sharma et al., 2015)
4. Factors affecting Bio Pellets Production
4.1 Raw material used
Mostorganic materials rich in carbon and hydrogen are suitable for the manufacture of bio pellets.
Materials with high carbon content are preferred and it is this difference in the carbon content which
makes their calorific value to differ.
252
4.2 Process temperature
Temperature, particularly the compressive and carbonisation temperature, affects the characteristic of
the bio pellets produced. Highly carbonised agricultural waste due to use of higher temperatures around
200-800°C produce high quality raw material for bio pellets (Mayhead et al., 2011).
4.3 Moisture content
Moisture content must be as low as possible in bio pellets; the moisture content must be kept as low as
10 % (Shartma et al., 2015). High moisture content in bio pellets lowers their heating value thereby
reducing their calorific value.
4.4 Quantity of binding agent
During the bio pellet making, it has been noticed that at least 8% of the binder is required. The binder
composition has been improved by the addition of cow dung which has reduced the need for binder to
almost 5% by mass in both types i.e.carbonised and raw agricultural waste giving a cheaper, economical
and environment way for bio pellet production.
4.5 Energy content and thermal power
Bio pellets have a certain amount of energy that is converted through combustion into final energy to
be used for heating measured in joules and results in heat energy, carbon dioxide and water as by
products. Thermal power is the ratio between the thermal energy that is produced and the time spent to
produce it (Adapa et al., 2011; Sharma et al., 2015). It expresses the amount of final heat transmitted to
a thermal vector and it is measured in joules/sec.
5. Bio Pellets Production Process Routes
Biomass bio pellets are produced using various production processes including pyrolysis, hydrothermal
carbonization and gasification. These processes are described in detail in the following subsections.
5.1 Pyrolysis
The bio pellets production process via pyrolysis involves three stages which include pre-drying of the
biomass, pyrolysis, and the cooling of the bio char and this takes place in the absence of oxygen. During
pyrolysis, the biomass is decomposes into three end products: bio char, tar and aqueous solutions and
gases. The process must have a heat integration system which allows the combustion of volatiles in an
afterburner and use the flue gas to directly or indirectly heat the biomass pre-drying process (Liu et al.,
2014). The process factors which are controlled during pyrolysis are the temperature, residence time,
moisture content, raw material used and the heating rate. The process factors affect the total yield and
properties of bio char produced and its physicochemical properties (Mayhead et al., 2011). In cases
where the moisture content of the biomass is high, the carbonizing process takes longer and some of
the biomass remains uncarbonized, thereby reducing the quality of the bio pellets produced (Sharma et
al., 2015). The pyrolysis process can be further divided into 3 types which are fast, mild and slow.
253
5.1.1 Fast pyrolysis
Fast pyrolysis involves the quick heating at temperatures of 500- 800 °C and devolatilization of organic
matter by thermo chemical processes under anaerobic conditions (Liu et al., 2014). Fast pyrolysis
products include small amounts of bio char and gases which contain tars and volatile gases than can be
liquefied. The focus of fast pyrolysis is on the yield of liquid products which can go as up to 75%.
5.1.2 Mild pyrolysis
Mild pyrolysis is also termed torrefaction and it takes place at relatively low temperatures of 200-300
°C over moderate residence times of 1-3 hours. The major products of mild pyrolysis are bio char of
around 70% yield and 30% pyrolysis gases. The mild pyrolysis process begins with stages of
preliminary heating, drying, drying and intermediary heating considered allowing evaporation of water
and achieving the required mild pyrolysis temperature (Liu et al., 2014).
5.1.3 Slow pyrolysis
During slow pyrolysis of the biomass, the biomass material is carbonized over long periods of time at
temperatures of around 400 °C. The main yield is bio char as well as small amounts of tar and gases
(Liu et al., 2014). The main process parameters considered are the residence time, temperature and the
heating rate. All of these parameters affect the total bio char yield and properties of bio pellets. Lower
temperatures and longer residence times will yield high quantities of bio char. A summary of the various
pyrolysis conditions is given in Table 2.
Table 2: Summary of pyrolysis processes (Mayhead et al., 2011)

Pyrolysis type Terms used Temperature (°C) Residence time Products
Slow Charcoal making, 300-400 Hours-days Bio char
Carbonization
Mild Torrefaction, Torification 200-315 5-30 minutes Bio coal
Fast Fast pyrolysis 400-600 1 second Bio oil
Flashy pyrolysis Bio char
Gases
5.2 Hydrothermal carbonisation
Hydrothermal carbonization (HTC) is a thermo chemical pre-treatment process where biomass is treated
in hot compressed water to produce bio pellets (Erlach et al., 2011). HTC involves removal of
mechanical impurities, crushing, homogenisation and soaking of the biomass. The biomass is crushed
and reduced to a grain size of <60 mm and sieved and then refined (Erlach et al., 2011). Soaked biomass
is pumped into the HTC reactor, where it is pressurised to 25 bars by means of steam and heated up to
220 °C (Erlach et al., 2011). Citric acid is added the process of biomass decomposition to commence
the dehydration and carbonisation process. The reaction is slightly exorthemic and bio coal paste is
formed as the product. Mechanical compression is applied in order to remove 50 % of the water from
the cooled-down bio coal paste. Using the waste heat from the HTC process the coal cake is dried to
the moisture usually 5 - 25%. Drying process produces pulverised biocoal which is pelletised and stored
(Erlach et al., 2011).
254
6. Conclusion
Conversion of agricultural waste biomass to bio pellets promotes sustainable development through
usage of renewable and eco-friendly source if energy for large domestic use. The bio pellets from
agricultural waste have high heating values and are produced through easy technological processes
mainly processes making them easily adoptable. The adoption of bio pellets does not only provide
energy for Africa but also promotes effective waste management.
Acknowledgement
Funding from the National Research Foundation under the Knowledge, Interchange and Collaboration
(KIC) is acknowledged.
References
Adapa, P., Tabil, L. and Schoenau, G. (2011) A Comprehensive Analysis of the Factors Affecting
Densification of Barley, Canola, Oat and Wheat Straw Grinds. The Canadian Society for
Bioengineering. Written for presentation at the CSBE/SCGAB 2011 Annual Conference Inn at the
Forks, Winnipeg, Manitoba 10-13 July 2011.
Baruya, P. (2015) World Forest and Agricultural Crop Residue Resources for Co-firing. IEA Clean
Coal Centre, 2015.
Erlach, B., Wirth, B. and. Tsatsaronics, G. (2011) Co-production of Electricity, Heat and Bio coal
Pellets from Biomass: A Techno-economic Comparison with Wood Pelletizing. World Renewable
Energy Congress 2011, Sweden, BioEnergy Technology, 8-13 May 2011, Linkoping, Sweden.
Liu, C., Wang, H., Karim, A. M., Sun, J. and Wang, J. (2014) Catalytic Fast Pyrolysis of Lignocelluloses
Biomass. Chemical Society Reviews, 1-53.
Mayhead, G., Snell, I. and. Shelly, J. R. (2011). Woody Biomass FactSheet WB4. University of
California, Berkeley, 2011.
Miranda, T., Justo, F. J. S.., Montero, I. and Arrauz, J. I. (2015) A Review of Pellets from Different
Sources. Materials, 8, 1413-1427.
Saeed, M.A., Irshad, A., Satter, H., Andrews, G. E., Phylaktou, H.N. and Gibbs, B. M. (2015)
Agricultural Waste Biomass Energy Potential in Pakistan. In: Proceedings of the International
Conference held in Shanghai, P. R. China. International BioEnergy (Shanghai)Exhibition and Asian
Bioenergy Conference, 21-23 October 2015, Shanghai, P.R. China. ISBN 9788889407134.
Sharma, M. K., Priyank, G. and Sharma, N. (2015) Biomass Briquette Production: A Propagation of
Non-Conventional Technology and Future of Pollution Free Thermal Energy Sources. American
Journal of Engineering Research. 4 (2), 44-50.
255
Shukla, S. and Vyas, S. (2015) Study of Biomass Bio pellets, Factors Affecting Its Performance and
Technologies Based on Bio pellets. IOSR Journal of Environmental Science, Toxicology and Food
Technology, 9 (11), 37-44.
256
DII-2017-028
Recycling of Fibre Reinforced Composites: A Review of
Current Technologies
Kwame Anane-Fenin1, Esther T. Akinlabi2
Abstract
Global trends reveal a general progression and preference for green, energy efficient and sustainable
products. This trend, therefore, requires a shift from the dependency on traditional materials such as
aluminium and steel to cheaper and more sustainable alternatives such as fibre reinforced composites.
These composites are gaining significant application in the construction, medical, automotive, aviation
and marine fields. The missing link required to complete the sustainability loop for these composites is
recycling at the end-of-life phase. The main objective of this paper is to highlight all recycling
technologies available for fibre reinforced composites and their related socioeconomic and
environmental implications. Articles cited cover a period from the 1990s to date, capturing the
timeframe when the environmental impact of composites, in general, gained global relevance. The
outcome of the study reveals that recovery of carbon fibre, glass fibre, energy, fuels, oils and gases
from waste composites can be achieved efficiently, economically and with minimal degradation to fibre
properties. The findings also suggest that with proper technology, recycling of fibre reinforced
composite can be achieved in an environmentally friendly way.
Keywords: fibre reinforced composites, pyrolysis, solvolysis, supercritical fluids, thermoset

composites
25
1. Introduction
The increasing application of fibre reinforced composites in the civil, aerospace, automobile, the wind
and marine industries may be attributed its superior properties over traditional materials such as metals
and wood. Lightness, corrosion resistance, low cost, and high strength to weight ratio are some of the
properties of such composites ( Conroy et al., 2006). In 2016, the global market value of thermoset
composites was estimated at US$41.98 billion and is expected to increase to US$57.98 billion by 2021
(market and market, 2017). The past decade has seen an annual increase in demand for carbon fibre
from 16,000 – 72,000 tonnes, however, this figure is expected to increase to 140,000 tonnes by 2020.
La Rosa et al. (2016) also reported that in 2008 the worldwide demand for carbon fibre was 35,000
tonnes, but this figure is expected to increase to 120,000 tonnes by 2020. The increasing demand for
carbon fibre in sectors such as the automobile and aerospace will continue. A high percentage of fibre
reinforced polymer composite waste generated worldwide end up in landfills which are not
1
PhD Student; Mechanical Engineering Science; University of Johannesburg; P. O. Box 524, Auckland Park 2006;
[email protected].
2Vice Dean: Teaching and Learning; Faculty of Engineering and the Built Environment; University of Johannesburg; P. O.
Box 524, Auckland Park 2006; [email protected].
257
environmentally friendly and sustainable. The continued preference for thermosetting composites
implies that the waste generated will also continue to rise and therefore recycling solutions are a
necessity. Aside the environmental impact, stricter regulation and legislation by the European Union
(EU) and most developed nations to restrict landfill disposal are leading to several types of research
into suitable recycling processes (Oliveux et al., 2015). For example, in the EU’s waste hierarchy,
innovative recycling is highest ranked while disposal is the least ranked (EuCIA, 2015).
This study attempts to bring to fore the importance of recycling fibre reinforced composite with a focus
on the technologies available, mechanical properties of recyclates, socioeconomic impact,
environmental impact and applications of recyclate. A study period from the 90s to present is selected
to provide a holistic overview while capturing the period when the global importance of recycling fibre
reinforced composites received prominence.
1.1 Motivation for Recycling
There are two main incentives associated with recycling composite waste namely; the cost of producing
virgin fibres and the environmental problems related to landfill disposal. Therefore, the option of
utilising composite waste as a secondary resource for production fibre recyclate is vital since virgin
fibres production is very energy intensive and costly. Pimenta and Pinho (2011) reported that the cost
of manufacturing 1kg of virgin carbon fibre was GBP£20 to GBP£40 in the UK and the energy
consumption was 183 – 286 MJ which 14 times more energy intensive than production of steel. Das
(2011) observed that greenhouse emission from the production of virgin carbon fibre is 31 kg CO2
eq/kg and ten (10) times the emissions from steel (3 kg CO2 eq/kg) production. Recycling can,
therefore, serve as a solution to waste while providing substantial financial value from recovered carbon
fibre. The U.S. standard for corporate average fuel economy (CAFE) has been set at 54.5mpge by 2025
while the EU CO2 emission restrictions have been set to reduce from 130 g of CO2/km to 95 g CO2/km
by 2020. These stringent fuel economy standards and CO2 emission laws for vehicles are driving
manufacturers towards lightweight materials such as carbon fibre reinforced polymer (CFRP).
The UK has instituted a landfill tax to serve as a financial disincentive aimed at promoting the diversion
of composite waste from landfill disposal to alternative treatments like recycling (EC, 2012). The EU’s
end-of-life (ELV) Directive (2000/53/EC) requires that from 2015, 85% by weight of end-of-life vehicle
waste must be reusable or recyclable with a total recovery of 95% including incineration. Therefore,
only 5% and 10% of a vehicle are allowed for landfill disposal and energy recovery respectively (EC,
2000; 2012). The EU’s Landfill Directive (1999/31/EC) for waste disposal severely restricts the
quantity of organic material allowed for landfill disposal. These legislations are making the landfill
disposal option an illegality in many countries, and therefore effective and innovative recycling
processes are a necessity.
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2. Available Recycling Technologies
Fundamentally, there are three (3) primary recycling options currently in use for composite waste
management; they include; mechanical, thermal and chemical (Solvolysis) processes as shown in figure
1. However, newer approaches such as utilisation of High voltage fragmentation (HVF) are helping to
usher in environmentally sound, efficient and sustainable way for recycling composites.
Figure 1: Composite waste recycling technologies
2.1 Mechanical recycling
Mechanical recycling involves size reduction and/or pulverisation by grinding or milling. This recycling
process typically requires two (2) stages. Stage one involves a 50 – 100 mm reduction using slow cutting
or crushing mills to aid in the removal of metal inserts and transportation, while the second stage,
involves a 10 – 50 mm reduction using high-speed mills or hammer mill. Finally, size grading of
recyclate into different size fractions is carried out using cyclones and sieves (Scheirs, 1998). The
resulting graded fractions could be fine powdered, coarse or fibrous. Finely powdered recyclates can be
used as fillers for new sheet moulding compound (SMC), bulk moulding compound (BMC) or dough
moulding compounds (DMC) (Palmer et al., 2009). A combination of pressure from legislatures and
economic viability of reusing recyclate in BMC of DMC makes it critical to the automotive sector.
However, powdered and fibrous recyclates have not received the necessary attention because of their
inferior mechanical properties attributed to lack of bonding with polymer and fibres acting as a stress
inducing agent (Bledzki et al., 1992). These reported low mechanical properties, led Palmer et al. (2009)
to develop a protocol for manufacturing DMCs of equal or superior mechanical integrity that
incorporates careful separation and use of the “by-content” reformulation method to ensure intelligent
inclusion of recyclate mix (fibres and fillers) and virgin material. Using the optimal mix time of 8
minutes, fine and coarse recyclates were reported to show high flexural modulus and impact strength
respectively.
Some successful application of recycled glass fibre includes; furniture manufacture, manhole covers
and utility boxes (Job, 2014). Ribeiro et al. (2016a), reports of the use of ground recyclate as filler for
259
the polymer based concrete. Research works by (Castro, 2014; Ribeiro et al., 2016b;) have shown that
mechanically recycling GFRPs is viable, sustainable and value-adding. Other applications for coarser
recyclates include use as; asphalt reinforcement, an alternative to wood fibre and damping material for
noise insulation (GPRMC, 2003; Conroy et al., 2004). Mechanical recycling is the most
environmentally friendly because chemicals and toxic gas emissions are absent. It is the only process
that is currently utilised on an industrial scale level for commercial processing of recyclates (Palmer et
al., 2009).
2.2 Thermal recycling
Thermal recycling processing can be grouped under three (3) main categories namely; Combustion and
Fluidised Bed and pyrolysis.
2.2.1 Combustion for energy recovery and application
The Combustion process involves the burning of composite waste in the presence of oxygen. Polymers
such as epoxy, phenolics, and polyester all have calorific values of approximately 30,000 kJ/kg, while
that of urea formaldehyde is 15,700 kJ/kg. However, the calorific values of glass fibre reinforced
composites are dependent on the type and proportion of polymer used (Pickering and Benson, 1991).
The recovery of energy from combustion of fibre reinforced composite waste is very viable as presented
by (Pickering and Benson, 1993; Nystrom, 2002). The leftovers from incombustible materials may be
disposed in landfills or used as fillers for products like cement.
2.2.2 Fibre recovery using fluidised bed
The fluidised bed is used for the recovery of fibre reinforcements like glass and carbon from scrap
composites (Pickering et al., 2002; Pickering, 2006). Waste scrap is first reduced to an approximate size
of 25mm then fed into a fluidised bed of silica sand fluidised with a current of hot air at velocities of
0.4 – 1.0 m/s and at elevated temperatures ranging 450 – 550 oC. The high-temperature volatilizes the
polymer which frees up the fibres and fillers to suspend in the gas stream. The last stage involves
separation and transfer of fibres from the fluidised bed to a secondary chamber where high-temperature
combustion ensures full oxidation of polymer. The mechanical properties of recyclate fibres revealed
that there was 50% and 20% reduction in tensile strength of glass fibre and carbon fibres respectively.
The reduction in strength is attributed to the high temperatures associated with the fluid bed process.
2.2.3 Pyrolysis
During pyrolysis, the composite waste is heated in the absence of oxygen resulting in the polymer
degrading into lower molecular weight liquids and gases. Figure 2 is a flow layout for recycling using
pyrolysis. Pyrolysis studies for glass and carbon fibre reinforced composites were successfully carried
out at processing temperatures of 450oC - 550oC by (Cunliffe, 2003). High temperature causes
deterioration in recyclate fibre strength. Therefore Adherent Technologies, Inc. (USA) developed a
catalytic pyrolysis process that significantly reduces processing temperature to 200 oC and was able to
produce epoxy free fibre recyclates having tensile strengths 83 – 99% of virgin fibre (Allred and L. D.
Busselle, 2000). Pyrolysis produces oil, gases, char, fibres and fillers.
260
Figure 2: Recycling using pyrolysis (Pickering, 2006)
Microwave assisted pyrolysis
Lester et al. (2004) and Åkesson et al. (2012) experimented on the application of microwaves for heating
the composite waste to break down the matrix into gases and oil in an inert atmosphere. Heating with
microwaves is found to be advantageous because the waste composites get heated within its core at a
fast thermal transfer rate, and therefore ensures some energy savings.
The main drawbacks to thermal recycling processing include difficulty in recovering monomers from
resins for reuse and strength and surface degradation of thermally treated fibres. Yang et al., (2015)
reported that mechanical properties of composites manufactured from thermally recycled fibre glass
were observed to be severely degraded with losses of over 60% in tensile strength, 50% in flexural
properties and 70 – 80% in impact strength when compared to virgin fibres. Therefore, further fibre
regeneration through chemical treatment to ensure second-life reinforcement reuse is necessary (Yang
et al., 2015). The advantage of pyrolysis over mechanical recycling is that it allows for recovery of
some products from resins such as gases and oil which may be treated and used as fuels.
2.3 Chemical (solvolysis) recycling
Although there are existing technologies for recycling composites such as mechanical and thermal
processing, there are significant challenges to material recovery abilities and their preservation of high-
value mechanical properties. Chemical processing seems to be the most suitable and recommended
option for ensuring limited damage to fibres after polymer matrix disintegration. Solvolysis or chemical
treatment involves the degradation of resin using a solvent. This process has enjoyed major patronage
in recycling CFRP for fibre recovery because it is more commercially viable. Water is the most widely
used solvent (Pinero-Hernanz et al., 2008a; Oliveux et al., 2012). Water with a co-solvent such as
alcohol, phenol and amine (Jiang et al., 2007; Oliveux et al., 2012) have also been successfully used in
solvolysis. The alcohols often used in solvolysis include acetone, glycols, methanol, and propanol
(Okajima et al., 2012; Xu et al., 2013; Yildirir et al., 2014; Yan et al., 2016). Alkaline catalysts such as
sodium hydroxide (NaOH) or potassium hydroxide (KOH) are also predominantly used (Pinero-
Hernanz et al., 2008; Nakagawa et al., 2009; Onwudili et al., 2013). Acidic catalysts are only used for
highly resistant-to-degradation resins (Yuyan et al., 2009; Feraboli et al., 2012). Meng et al. (2004)
used high concentrated nitric acid to effectively break down the polymer resin of carbon fibre reinforced
composite at a processing temperature of 90oC and reaction time between 10 and 100 hours to generate
fibres that lost only 1.1% of its tensile strength. Etching in combination with post-silanisation is used
261
as chemical treatment for regeneration of degraded glass fibre after thermal recycling by Yang et al.,
(2015). The chemicals used for etching and pos-silanisation were 48% hydrofluoric acid (HF) and γ-
aminopropyltriethoxysilane respectively. A recovery of over 80% of lost tensile strength, 70% of lost
flexural properties and 50% of lost impact strength. Glass fibre closed-loop recycling was achieved
(Yang et al., 2015).
2.3.1 Supercritical Fluid
When a single component of fluid has its temperature and pressure above its critical temperature and
pressure respectively it is said to be supercritical (Debenedetti, 2000). A supercritical fluid is neither a
liquid nor vapour. Studies by (Piero-Hernanz, 2008a; Piero-Hernanz, 2008b, Jiang et al., 2009) have
shown the suitability of supercritical water for recycling composite waste especially CFRP because of
its effective resin degradation capability. Water has temperature and pressure dependent properties
which make it an adjustable solvent that is ideal for property manipulation and control. Bai et al. (2010)
reported that clean carbon fibre with higher tensile strength in comparison to virgin fibre was recovered
using oxygen and supercritical water at a pressure of about 30 MPa and a temperature of approximately
440oC. Knight (2013), also conducted a study on the recycling of CFRP using supercritical water and
observed 99% high cross-linked resin removal while retaining 100% tensile strength and modulus of a
single filament. High-temperature solvolysis involves using supercritical fluids such as water and
alcohols at temperatures above 374oC and pressures above 22.1 MPa. Alcohols, however, often have
lower critical temperature and pressure than water. Supercritical 1-propanol and water were used to
effectively degrade and remove CFRP matrix for fibre recovery at a temperature of 450 oC at pressures
of 25.5 MPa (Alcohol) and 63.3 MPa (water). Yan et al. (2016) also used 1wt% KOH additive and
supercritical 1-propanol, to successfully recycle and recover carbon fibres with excellent mechanical
properties, clean surface and good thermal stability from an epoxy resin carbon fibre reinforced
composite. Phenolic compounds such as isopropyl phenol and cresol are obtained from the degradation
of epoxy resins with the following gasses; carbon dioxide, oxygen, hydrogen, ethane, methane and
propane (Elghazzaoui, 2012). The main advantage of chemical processing over thermal processes like
pyrolysis is that absence of char which tends to contaminate the fibre surface of recyclates. However,
the drawback of this method is the high cost of reactors which must be capable of withstanding high
temperatures, pressures and corrosion. Supercritical water and alcohols have shown significant potential
for chemical processing and are much more environmentally friendly because of low toxicity, readily
available and significantly lower processing cost (Salto, 1995).
2.4 High voltage fragmentation (HVF)
High voltage fragmentation (HVF) involves the disintegration of solid materials using repetitive
electrical pulse discharges between two (2) electrodes within a short period. The electrical discharge
generates a spark channel which produces intense shockwaves at high temperature (> 104K) and
pressure (approx. 109 – 1010 Pa) that introduce internal stresses above the tensile strength of material
leading to eventual disintegration (Bluhm et al., 2000). A study conducted by Mativenga et al. (2016)
observed the following when HVF was compared to the mechanical recycling methods: 1) The
characteristics of fibres recovered by HVF were cleaner, lower in resin content retained on fibre, higher
in the percentage of fibres, and longer fibre length distribution. 2) As applied electric pulse increased,
the residual resin content decreased and 3) The HVF process required a specific energy consumption
that was 2.6 times the requirement for mechanical recycling.
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3. Discussion
Mechanical processing is the first approach considered and adopted for recycling of composite waste.
It is also the most commercially viable. But most literature available has shown that the hindrance to
commercialization may be attributed to the use of ground recyclate as cheap fillers that produce inferior
products possessing inferior mechanical properties at a slightly lower cost. However, by introducing
prudent separation and classification techniques, an optimal and intelligent approach can be developed
for using recyclate as both reinforcements and as a filler for manufacturing mechanically superior
composites. (Palmer et al., 2009). Mechanical recycling also has the advantage of being the most
environmentally friendly technology for recycling as no toxic chemicals and gases are used or emitted.
A lot more recyclates can be obtained from thermal recycling processing such as pyrolysis. Fibres, char,
oils and gasses are the possible recyclates which make it more advantages when compared with the
mechanical method. It must, however, be stated that recovering monomers from resins is extremely
difficult when this method is used. Energy consumption during this process is quite high therefore
microwave assisted pyrolysis is helping to decrease energy consumption by reducing the heating time.
Due to char contamination, the recyclate fibre produced from pyrolysis also exhibit inferior mechanical
properties when compared to virgin fibres. The fluidised bed, however, produces cleaner recyclate
fibres but are still inferior to virgin fibres. The mechanical properties of fibre recyclates from pyrolysis
can be enhanced significantly by etching in combination with post-silanisation as described by Yang et
al., (2015).
The chemical recycling processing is the route with the most space for innovation and achieving an
environmentally friendly, sustainable, energy saving and financially rewarding process. The most
significant advantage of this process to both mechanical and thermal processes is the quality of recyclate
fibre recovered. The mechanical properties of recyclate fibres are close to or in some case the same as
virgin fibres. This means that they can be used in the manufacture of new thermoset composites while
avoiding the cost associated with the production of virgin fibres. The drawbacks to this process include;
the use of chemicals which are toxic and the high cost of reactors.
4. Conclusion
The review has shown that a tremendous amount of research into the provision of a greener, cost
effective and sustainable recycling process is essential for coping with composite waste. The motivation
and urgency for these technologies are informed by stricter legislation on landfill disposal, CO 2
standards, the high energy input and higher cost of producing virgin fibre. The use of supercritical fluids
for fibre recovery can be optimised to achieve high mechanical properties, commercialisation and low
environmental impact. Novel approaches such as HVFs are necessary to simplify and reduce the cost
of recycling while maintaining high mechanical properties.
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DII-2017-051
Energy Efficiency Enhancement of Off-grid Photovoltaic

Power Plant
Sibusiso B. Dlamini1, Emmanuel Bakaya- Kyahurwa2, Dr M. Mashinini3
Abstract
The sizing of the off-grid PV systems is currently based on a manual approach, i.e. daily load is
estimated by identifying commonly used load appliances for modelling system performance. If the
system is not properly sized, it may not function according to expectation. The purpose of this paper is
to present a conceptual design of an off-grid (autonomous) photovoltaic (PV) power plant, fitted with
an efficient power regulating (EPR) management system of solar batteries and an instinctive solar
tracking of PV panels. An optimisation model for an Efficient Power Regulating (EPR) system of solar
batteries was coupled to a solar tracking device so that the PV panels were constantly in full view of
the sun. The objective function of the model was to maximise the efficiency of PV cells through PV
battery charge regulation and load control in off-grid PV installations. This study revealed that the
effectiveness of the EPR of solar battery (SB) when totally discharged can be realised when the
accumulating battery (AB) charge reaches 50%.The study findings were indicative of the effectiveness
of the EPR of SB. Hence, the EPR technique and the automatic tracking of PV solar panels proved to
be the most effective technique for optimising energy efficiency of autonomous PV power plants.
Keywords: autonomous photovoltaic (PV), energy efficiency, PV solar battery, PV solar panel26
1. Introduction
Improvement of off-grid photovoltaic power plants depends primarily on the increased quality of the
technical characteristics of power plant sources - solar and the accumulating storage batteries (SB, AB).
However, even with the most innovative sources of energy power plants which are currently available,
the independent power plant facility may have a compromised power output characteristic due to the
irrational usage of their potential capability (Sharma, 2011). Therefore, when designing contemporary
and efficient stand-alone PV power plants, it should be undertaken in such a manner that it is able to
address two major chores, these are;
 The development and usage of solar cells with increased efficiency and batteries with improved
performance.
1Post Graduate student, Mechanical Department, University of Johannesburg, P.O. Box 8893, Mbabane, Swaziland.
[email protected]; Cell: +27 78 635 8633/+268 2411 7000. Professional Affiliation: member of ECSA, SAIMechE
and SAIRAC.
2Lecturer in the Mechanical Department, University of Johannesburg. P.O. Box 524, 17011, Doornfontein, 2028. Email:
[email protected]; Tel: +27 11 559 6017

3Lecturer in the Mechanical Department, University of Johannesburg, P.O. Box 17011, Doornfontein, 2028. Email:
[email protected]; Tel: +27 11 559 6480
268
 The task of PV system design of power plants with the aim of improving their energy efficiency.
In this paper, the EPR is proposed for solar cells in order to enhance efficiency of PV plants and a
technique for PV battery charge regulation and energy load control in off-grid PV plants is presented.
2. Brief Background
The effectiveness of the usage of PV energy sources in their long-term operational cycle, to a large
extent depends on the block diagram, design and acknowledged conducts of managing energy sources
(Shinyakov, 2007). At present, widely employed are block diagrams of energy systems and plants
without the consciousness of the technique of instigating an efficient practice of the regulation of its
power (source, n.d.). A number of autonomous PV power plants mostly employ simple controls of
current charge and discharge of the AB, which simply cut off the source of energy of SB when the
voltage at the AB reaches its limit. However, by reducing the voltage on AB to a certain level such that
a solar cell is reconnected again and charging is resumed, voltage on SB is determined by the voltage
of AB at a specific given moment, depending on the state of charge of AB. Since EPR management
system is not realized, consequently the rate of energy efficiency of such PV power plants is minimal.
3. Methodology
Maximizing the energy efficiency ratio of autonomous PV power plants not less than 30-50% is possible
through the following basic means (Shinakov et al., 2010):
 Realizing of the power intake mode at the optimal operating point of the current-voltage
characteristics of the solar battery during the life of its exploitation (realizing of the method of
efficient regulating of power of solar battery);
 Realizing of a continuous mode of automatic tracking of PV panels for the sun;
 Optimization of the solar battery structure in order to achieve a minimum heating of photocell
elements.
3.1 Efficient power regulating management system
The effect of the realization of the EPR of solar batteries depends on a range of variations in the
operating temperature of PV panels. Solar batteries of PV stand-alone power plants are used at
significantly varying operating conditions. They are strongly influenced by the environment. Their
current-voltage (V-I) graph characteristics vary non-linear and unstable (Tobnaghi, Madatov, & Naderi,
2013). V-I characteristics of solar cell sample at 15, 25, 30, 40, and 50 °C temperatures have been
shown in Figure 6.
269
Figure 6: A Sketch of V-I Characteristics of a Solar Cell in different temperatures (Tobnaghi,
Madatov, & Naderi, 2013)
It can be realised that V-I characteristics of solar cell vary under different temperatures. Escalations in
temperature decrease the band gap of a solar cell, hence affecting the solar cell efficiency (Singh, 2008)
(Singh & Ravindra, 2012)
Volt-Watt graph characteristics have a pronounced maximum generated power, the position of which
varies considerably from the operating conditions, that is, resources, temperatures, radiance. When it
changes operating temperature from +70 to -30 ° C, the voltage of the optimum operating point of the
silicon solar battery increases approximately 1.5 times (voltage of a photocell varies within the range
0.5-0.75 V) (Shinakov et al., 2010). The current of a solar battery irrelevantly depends on the operating
temperature. Theoretical analysis confirms that in comparison with parallel connection systems SB and
AB (operating voltage of a SB, equals to the voltage of AB) energy effectiveness of the realization of
the EPR of SB when deeply discharged AB may reach 50% (Shinakov et al., 2010).
3.2 Automatic tracking of the sun by the PV panels
The effect of the realization of the continuous mode of automatic tracking of PV panels for the sun is
correspondingly significant. From preliminary investigations undertaken of energy efficiency of
automatic tracking systems of PV panels for the sun proves that the effectiveness of the autonomous
PV power plant in Mbabane Government Hospital (blood bank) compared to the horizontal arrangement
of PV panels is as follows:
 If the solar battery exhibits an angle equal to the latitude of the location, the efficiency is 20%;
 When using single-axis tracking system the sun, the efficiency is 42%;
 The application of dual-axis tracking system of the sun, the efficiency is 51%.
On average for the different locations of off-grid photovoltaic power plants in Swaziland, i.e. Siteki
Mzilikazi, Langa and Mbabane, the potential of increasing energy efficiency through the use of tracking
systems for the sun rises by 31% for single-axis systems and 46% -for biaxial.
270
3.3 Impact of the re-design of solar cell structure
The likelihood of improving the design of solar battery structure with the view of increasing the
exploitation of the energy efficiency factor results to the high sensitivity photocells elements to
temperature. As the temperature increases the efficiency of PV batteries, like most other semiconductor
devices is reduced. It is therefore necessary to take all measures to reduce the heat, inevitable under the
scorching direct sunlight. Further complicating the situation is that the sensitive surface is rather fragile
solar cells covered by the protective glass or transparent plastic. The result is a kind of "greenhouse"
aggravating overheating.
Practically no information is available about the work on the investigation of the effectiveness of
specific measures and devices that effect cooling of solar batteries of PV solar panels.
4. How the Off-Grid PV Plant Operates

The principal distinctiveness of the designed PV power plant is the;
 Simultaneous use of a stepper motor control method with automatic guidance of PV panels in the
direction of the sun,
 EPR of SB and the establishment of an integrated management of power plant control system by
dividing its operating period with periods interchanging task between EPR and stepper drives.
The employment of stepping techniques to ascertain maximum power is the most suitable for use in
autonomous PV power plants (Hesari, 2016). The coordination of extreme regulator with the charger
settings is achieved quite simply by a discrete adjustment feedback in the channel voltage of the solar
battery. This method is widely used in photovoltaic power systems of automatic space vehicles
(Shinyakov, 2007).
Extreme regulator of any type (analog-digital, digital, and micro-processor) hardly increases the weight
of control apparatus, but instead has a low energy consumption and increases the efficiency of the solar
battery to 98-100% (Shinyakov et al., 1997) (Shinyakov, 2007).
5. Spontaneous PV Panel Solar Tracking Operations

Figure 7 depicts a sketch of a mechanical system of vertical and horizontal rotations (azimuth and
elevation) of solar PV panels. The basic components of the mechanical system of a stand-alone PV
power plant presented in Fig. 2 are: the frame with two PV modules GS-S-160 or KSM-180; the non-
stationary frame; an immovable frame; rotation regulator in elevation; rotation regulator in azimuth;
two stepper motor type SM-5D; two sun position sensors. The fixed immovable frame consists of
welded steel frame of the four corners of the core and the tubular elements with four corner supports
and one central support in which a rotating shaft is installed. The rotation of the shaft is provided bya
stepper motor SD-5D through the worm gear and spur gear. Fixed securely to the lower support frame
assembly, wherein rotation of the shaft is provided through the use as a central element of a spherical
bearing, and the radial thrust bearings provide the smallest friction connection. The movable frame
consists of welded steel frame with fixed thereon driven gear connected to a central shaft and a lower
support unit keyed for rotation around the vertical axis installation. The same two arcs fixed frame in
271
which the frame is installed with the axis of rotation KSM-160 modules through the collar and worm
gear stepper motor SM-5D for the rotation in elevation. As a law of enforcement mechanisms, to ensure
the rotation of the PV system, worm gears with a gear ratio of 1: 250 are used, which allows the use of
stepper motors with rated torque load torque - 0.1 Nm. Worm gearboxes allow to exclude spontaneous
change of the PV solar panels position relative to the sun under the influence of wind loads.
Figure 7: A sketch of the mechanical system of vertical and horizontal rotations of PV panels
6. Designed Off-Grid PV Plant Operations

Fundamental and operational illustration of the off-grid PV power plant is shown in Figure 8. The
following symbols are designated as follows: SB is the solar battery; CDCAB - control charge/discharge
of AB; I is the inverter; AB1 and AB2 accumulator batteries (storage devices); M1and M2 are stepper
motors; R1, R2 are reducers; SMCD1, SMCD2 are stepper motor control drivers; SPS is the sun position
sensor; CPS is the control pointer at the sun and LS1 to LS4 are limit switches. This autonomous PV
plant system uses an inverter with sinusoidal output TS 1500-224, connected to two series accumulating
or storage batteries, type TUDOR T12V 155FT and two solar PV panels of the type KSM 160. In
addition, the developed regulator that points at the sun consist of the microcontroller (MC) STM32-
F103, the DC-DC Converter, five operational amplifiers, IC, provides connectivity to RS 485 with an
external computer through the Converter (I - 7561).
The tracking system for automatic step control, consists of two sensor positions of the sun, the guidance
control on the sun, the two stepper motors with gearboxes, two power drivers, stepper motors, and four
limit switches, provides two-coordinate mechanical movement of the solar battery, horizontally - not
less than 180 degrees and vertically - not less than 70 degrees.
272
Figure 8: Structural and functional schematic diagram of an autonomous PV power plant
Using the sun position sensor, controller guidance and stepper motor driver provides the PV plant
system with rotations about the axis of rotation discretely 1-5 degrees per movement cycle, thus
reducing the energy costs of movement when tracking the sun. In the event there is no guidance
provided by the stepper motors, no energy is consumed. To reduce jerks and swings by moving the
controller for controlling stepper motors using positioning mode, i.e. it is the restriction on the speed
and acceleration when moving from one location to another. Limitations of critical rotation angles in
both planes is provided by the limit switches (LS1 – LS4), mounted on the immovable frame of the PV
plant system and the control pointer at the sun. The controller (CDCAB) uses the charger circuit based
on the voltage stepdown converter (SDC), as displayed in Figure 9. The circuit is designed to guarantee
the minimum conditions of the power loss. In the study, it is determined that optimal frequency
conversion 50 kHz, selected power field transistor IRFPS3810, have a low channel resistance.
Figure 9: Functional sketch of autonomous PV power plant with recognition functions of EPR of
SB
273
The charging system is controlled by a MC Atmega128, combining the functions of the user interface
with the formation of the control action on power transistor (VT1). There are two modes of operation;
the first one is the manual mode - a mode of stabilization of the solar battery voltage, where you can set
the desired operating point on the constant voltage charge (CVC) of the SB. Second, is the automatic
mode - EPR of the SB mode. In this mode, the search for the operating point of the CVC with maximum
power output occurs. The operation algorithm feedback of this mode is demonstrated in Figure 10.
7. The Feedback Control Algorithm Process
Before switching on the charging system, the survey of the voltage sensors VS1 and VS2 occurs only
in the occasion the open circuit voltage of the SB exceeds the voltage of AB, then the charger is switched
on. Another condition is the inclusion of the not fully charged rechargeable battery, which is determined
by the voltage AB, which shall not exceed a maximum value.
Afterward is a survey of the mode of operation of the memory, determining a desired feedback mode.
In this mode, the sampled current sensor SB (CS1 multiple unit) and the voltage sensor SB (VS1), is
considered as SB output. The obtained measured value of the input power PSB_NEW is compared with the
power value PSB_OLD measured before the assignation of the control action. In the event PSB_NEW is greater
than PSB_OLD, then the control impact sign (Δγ) does not change, which indicates the correct direction of
movement of the operating point for the input voltage (VIN).
However, if there is a reduction of power, that is, PSB_NEW is less thanRSB_OLD, then the operating point
is moving down the VIN, the sign changes, SB voltage is reversed Δγ = - Δγ. The property of the
algorithm is the continuous movement of the operating point at VIN, which is necessary for the detection
of an ultimate VIN and search for a new value when a drift of V IN happens. After the "capture" of the
maximum power position of the operating point, the algorithm oscillates in the vicinity of the extreme
values.
In the algorithm there is a pause between the introduction of control action and survey, measurement
sensors, which is necessary for the completion of transient processes caused by the operating action,
and measure the steady-state value. It is obvious that the pause determines the frequency of control
actions and, therefore, the search for the uttermost capacity, i.e. performance feedback. Therefore, a
factor limiting the performance of the memory is the time of transients in the power converter,
determined by inertial smoothing filters connected at its output.
274
Figure 10: - Feedback Algorithm Process (FAP) (Shinyakov et al., 1997)
8. Conclusion
There is presently no sufficient considerable field data and experimental results available that
demonstrates the effectiveness and applicability of EPR and sun tracking of PV panels of off-grid PV
power plants. Hence, this paper will assist in realizing the EPR technique and the automatic tracking of
PV panels for the sun. The study validated that EPR and sun tracking of PV panels proves to be the
most effective method of improving the energy efficiency of autonomous PV power plants.
The PV power plant which is fully autonomous will have a negligible loss of energy due to the provision
of guidance mechanism on the sun, (energy costs can be determined at the stage of experimental studies)
and optimized to not less than 30-50% energy efficiency.
Furthermore, this work is envisioned to serve as a foundation for additional feasibility and practicability
studies into small and large scale application within the manufacturing sector where there is an
escalating necessity to produce more off-grid, independent PV power plants.
275
References
Hesari, S., 2016. Design and Implementation of Maximum Solar PowerTracking system using
Photovoltaic Panels. International Journal of Renewable Energy Research, 6(4).
Sharma, D.B.D., 2011. Perfomance of solar power plants in India. New Delhi: Central Electricity
Regulatory Commission.
Shinakov, J.A., Shurigin, Y.A. and E., A.O., 2010. Improving energy efficiency off-grid PV power
plants. pp.102-07.
Shinyakov, A.Y., 2007. Extreme power control solar automatic spacecraft. Samara State Aerospace
University. pp.123-28.
Shinyakov, Y., Gordeev, K., Cherdantsev, S. and Obrusnik, V., 1997. Options of building extreme
stepper controllers for power solar plants. In Electromechanical device spacecraft. Moscow, 1997.
Singh, P., 2008. Temperature dependence of I–V characteristics and performance parameters of silicon
solar cell. Solar Energy Materials and Solar Cells, 92(12), pp.1611-16.
Singh, P. and Ravindra, N.M., 2012. Temperature dependence of solar cell performance—an analysis.
Solar Energy Materials and Solar Cells, 101, pp.36-45.
source, E., n.d. Solar photovoltaic modules series TSM. [Online] Available at:
http://www.solarhome.ru/ru/pv/tcm.htm free [Accessed 8 January 2017].
Tobnaghi, D.M., Madatov, R. and Naderi, D., December,2013. The effect of temperature on electrical
parameters of solar cells. International Journal of Advanced Research in Electrical, 2(12).
276
DII-2017-046
Protecting Water Delivery Infrastructure from Power

Supply Disturbances Damage in Lusaka Urban
Sebastian K. Namukolo1, Elias J. Zimba2
Abstract
This paper presents results of studies and investigations carried out by National Council for Scientific
Research (NCSR), at various sites in Lusaka, of causes of water pump and refrigeration motor failures,
in the period between 1985 and 2005, with a view of finding solution to this problem. Concerns leading
to the investigations were arrived at after reported and observed increased water pump and refrigeration
pump failures at different locations in Lusaka. Indications of the causes of motor failure pointed to
supply voltage problems. Utilising continuous voltage monitoring and measuring equipment, low
voltage on the power supply was measured at several sites. Based on the finding, a pump motor
protection circuit was specified, designed, fabricated. The voltage sensor circuit, built to protect against
several specified damaging modes is capable of mitigating wide spread water pump motor damages
caused by the specified poor power damaging modes. This solution, when implemented, can result in a
sustainable water delivery infrastructure that guarantees continuous water delivery to communities;
with impact on national economic savings and general social welfare.
Keywords: electronic circuit, load shedding, measurements, pump motor, sustainable
27
1. Introduction
Water distribution pump motor failure causes are many, and included on the list is poor power quality.
Poor power quality disturbances that affect motors are high and low voltage, voltage and current
imbalance, voltage surges and spikes, single phasing and phase reversals and harmonics. (Jason, 2015).
Other related causes are pump motor overloading, high ambient water temperature and low and very
high flow rate of external cooling water. Motor overheating is usually a symptom of problems that can
result in motor failure if cause is not eliminated, resulting in extended down times, repeated repairs, and
higher maintenance costs. In most cases motor failure is as a result of insulation winding failure leading
to shorting (Bryan, J, 2015).
Low voltage on the utility grid was identified to be the main cause of refrigeration equipment failure at
Mount Makulu Research centre. While low voltage, surges and short duration dropout were measured
on several pump stations of the water supply company in Lusaka.
1Lecturer; Department of Electrical and Electronic Engineering, University of Zambia, Box 32379 Lusaka;
[email protected]
2 Retired Scientist; CherryTech Electronics Enterprise, Box 30158, Lusaka; [email protected]
277
To resolve the problem, automated electronic system that senses these aberrations and isolates the motor
from the disturbances needs to be installed on the supply lines. However, the natural variability of the
supply gives a challenge for close monitoring and control, the problem which is in need of novel
solutions and close attention (Jayson, 2015). The designed voltage sensor presented in the paper is
capable of both automated monitoring of the power supply and protection of the motor pump by means
of isolating the motor from the poor power source. Sensing and protection thus prevents widespread
pump motor failures of water delivery infrastructure. Properly implemented, a sustainable water
delivery infrastructure is now feasible.
2. Methodology
2.1 Instrumentation failure research in Zambia
The National Council for Scientific Research (NCSR), predecessor of the present National Institute for
Scientific and Industrial Research (NISIR) has been the focal point for activities in the field of nuclear
sciences and technology in collaboration with the International Atomic Energy Agency (IAEA) in
Zambia. These collaborative activities included nuclear instrumentation as applied in agriculture,
medicine, industry and general research. This author was the national coordinator of the national
instrumentation program. Under these program activates, African member countries frequently met on
equipment protection training workshops that addressed issues to do with equipment protection and
instrumentation failure. In particular, a regular training program entitled “Power Conditioning, Earthing
and Lightning Protection” was organised yearly, both in and outside Africa, where knowledge of
instrumentation failure and solutions were shared (IAEA, 2016).
In the period between 1985 and 2005, investigations and studies were carried out on causes of water
pump motor and refrigeration pump failures, after concerns of wide spread refrigerator motor failures
at one of the NCSR centres in Mount Makulu area and at a later date at a Lusaka based water supply
company that experienced an increase in water pump motor failure.
2.2 How pumps get damaged by poor power quality
Pump motors are mostly damaged when the motor winding insulation is destroyed by high temperature.
Figure 1 shows theoretical impact of increased temperature on the life of the motor winding insulation
system. Inference is that for every increase of 100C in motor operating temperature, life expectance is
reduced by half and conversely if temperature is reduced by half the life expectancy will be doubled
(Bryan, 2015).
Low supply voltage to pumps implies increased current, as stated by the relation P = VI where P is
power, V is voltage and I is current. For constant power, reduction in voltage implies increased current
I. Resulting from increased current I, I2R heat losses in the winding resistance causes increased
operating temperature which if sustained can result in motor failure. Similar situation results when
voltage V goes up causing reduction in current I. However, motor runs faster. Further increase in voltage
can however cause saturation in the iron core of the motor which can cause increased current and
subsequent heating. NEMAMG1 standard recommend motors to run at rated +/- 10% while IEC
recommend +/- 5%. (Bryan, J, 2015).
278
Figure 11: Total winding temperature - degrees C
100 half-life rule (Source: Bryan, 2015)
Voltage imbalance on a three phase supply to the motor will result in increased temperature especially
on the phase with the highest voltage. The formula used to estimate the unbalance for both voltage and
current is given as:
max imum  deviation  from  average

% Un balance 
average
NEMAMG1 states that the percentage current unbalance may be 6 to 10 times the percentage voltage
unbalance, a condition that calls for accurate voltage measurement within .5% on all phases. (Bryan, J,
2015).
Other damaging modes of concern in Zambia are voltage and current surges brought about by
improperly installed load switching events and lightning events. Short duration supply voltage dropout
and load shedding are other aberrations harmful to motors (Zesco, 2015).
2.3 Conducted Zesco utility supply studies and measurements
In the late eighties, observation of wide spread failure of research refrigeration compressor pumps at
one of NCSR centres in the Chilanga area on the outskirts of Lusaka city, was made. Further, detailed
investigations carried out at this centre, using power line voltage measurement equipment, revealed
general low voltage on power supply lines. These measurements were done using continuous voltage
strip chart recorder, over an extended period of time. It was clear from the results obtained, that low
voltages occurred on the grid. It was also established that the low voltages coincided with times when
the nearby Chilanga cement factory was in full operation. The resulting near brown out condition that
affected refrigerators pumps was conclusively arrived at as caused by the high power demand by the
cement factory that shared the local network grid and was the main cause of refrigerator pump failure.
In November and December 2004, water pump installation investigations were conducted at seven
pump stations of a local Lusaka water supply company. The company requested checks of various
parameters that included earthing systems, wiring and power quality. The request was made after
recording several failed pump motors. Fluke power line monitor, strip chart continuous voltage
monitors and earth meter were utilised in the measurement exercises.
279
3. Results
Figure 2 and table1 show the results of the measurements carried out at one of the pump stations. These
are selected samples of the many measurements that were made. These results show the most potent
disturbances that can damage motors. These include low voltage, surges and short duration power
dropouts. The consequential effects of dropouts are similar to load shedding effects. Figure 2 shows the
measured utility power supply consistently below the nominal 230Vac while table1 measurements taken
from, 9th to 15th November 2004, show eleven transients, and one short duration outage event.
12.00 13.00 14.00 15.00 16.00 17.00 time of day
18.00 20.00 21.00 22.00 23.00 24.00
02.00 03.00 04.00 05.00 06.00 07.00
Figure 12: Plot of continuous phase voltage measurements using strip chart recorder taken over 20
hours period, showing consistent low voltage.
280
Table 1: Summary of power line disturbance measurements
3.1 Design and fabrication of a voltage sensor circuit
Given the problems stated above in terms of damages to pump motors in the country, due to poor power
quality problems, local solutions to these problems can be configured to minimise damages to motor
pumps. The following section gives a possible remedy to these challenges by way of monitoring
changing voltages on the power lines through a voltage sensor and automatically responding to effect
protection against all the four stated damaging modes
In conceptualising specifications for the voltage sensor protection circuit, the four damaging modes
discussed above were considered.
The block diagram of the protector, highlighting main circuit components is as given in figure 3. The
voltage sensor block comprises a potential divider attenuator, a half bridge rectifier and a low pass filter,
the comparator, delay timer and output switch. The rectified ac voltage directly senses variations of the
utility (220Vac). Comparator block senses two threshold values of low (180Vac) and high (260Vac)
utility voltage variations. Safe operation window for pump motors in general is taken between (180Vac)
and 260Vac. This implementation is shown in figures 4 and 5 below. The circuit discussed in this paper
is for single phase application. Three phase circuit requires integration of three single phase sensors.
220Vac
Surge arrestor
Delay timer Output Pump motor and load

Voltage sensor comparato
and attenuator r switch
andrectifier/filt
Figure 3: Voltage sensor circuit block diagram
281
The four protection modes are addressed as follows:
1. When low or high threshold voltages of (180Vac) or (260Vac) are sensed, circuit automatically
disconnects the load from power source, thereby isolating the load from the disturbed power
source.
2. After good power is restored, the delay component of the circuit delays connecting the load by a
predetermined time determined by the RC components time constant. Damages usually occur
here at the restoration of power as various loads in the whole community try to come on. Though
not visible to the naked eye the power source turns on and off many times before stabilising.
Generated transients and other disturbances permeate the grid at this time. A safe estimated period
to stable power is about three minutes.
3. Short duration power dropout is also detected by comparator, disconnecting the load which will
only be reconnected after the sensor delay time. This feature allows pump motors enough time to
synchronise or decompress and start normally.
4. Protection from high energy surges/transients on power lines is done by the surge arrestors. This
is not part of the sensor but is on the phase line (Schimanski, 1991; FIPS,1993; DEHN+SOHNE,
2014).
Figure 4 represents the voltage sensor attenator, rectifier and filter circuit. It senses the 220Vac and
attenuates it to lower value which is rectified and filtered to give a dc value that is proportional to the
line voltage. Figure 5 represents the comparator and the timer circuit. The comparator section is
configured to detect the high and low voltage thresholds. The timer circuit determines the timing time
of the delay. Figure 6 and 7 show the final fabricated voltage sensor prototypes for pump motor and
refrigerator motor protection.
Surge arrestor
Figure 4: Voltage sensor attenuator, rectifier and filter circuit
282
D R
D
1
2
C C R
Figure 5: Comparator and the timer circuit
Figure 6: Packaged protection voltage sensor circuit
Figure 7: Variation of the voltage sensor used for refrigerator protection
283
4. Discussion
Water distribution pump motor failure iscaused by poor power quality and other related non power
causes. There however seem to be a general agreement that power related issues are the main causes of
the motor inductive loads failure due to subsequent overheating and winding insulation failure.
Investigations and studies conducted on several Lusaka based water pump station in 2004, revealed low
voltage to have been the main cause of the recorded failures as shown in one of the sample measurement
results in figure 2. However, figure 3 sample fluke meter power quality measurements reveal presence
of surges(transients) and short duration power dropouts which are equally undesirable situations for
inductive pump motors.
To protect against these power quality problems, an electronic circuit was specified that would sense
the low and high set voltage thresholds, and short duration dropouts. Under these conditions, the circuit
would disconnect the pump motor and its load from the poor power source. Restoration of power to the
load will only be after power returns to acceptable levels. The delay time before restoration protects
against local generated surges and allows for proper synchronisation in case of short duration dropout.
External surge arrestors are included on the power line to absorb fast damaging surges from reaching
the motor, load and electrical and electronic controls.
As other non-power causes of pump motor damage have symptoms of motor overheating, a temperature
transducer can be included and incorporated in the voltage sensor circuit.
Protection of water pumps for water delivery companies that guarantees sustainable water delivery
can be improved by conducting power quality audits and the incorporation of voltage sensor circuit to
protect against premature water pump motors.
5. Conclusion
This paper has presented the various utility power aberrations that adversely affect water pump motors
and has shown that solutions can effectively be configured, designed and produced locally in a cost
effective manner. This addresses the question of infrastructure development and sustainability through
proven endogenous effort.
References
Jayson,(n.d.) Overheating in Submersible Motors.http://www.smeng.com.au pdf [accessed 02/04/17]
Bryan, J, (2015) Keeping it cool: a look at motor overheating Available online: http:/www.easa.com
pdf [accessed 02/04/17]
IAEA Technical Cooperation in Africa, (2016): available on

linehttps://www.iaea.org/technicalcooperation/documents/brochures/2016/TCCAF.pdf[accessed
05/06/17]
Federal Information processing standards (FIPS)(1993) publication 94, Guidelines on Electrical Power
for ADP Installations.. Available online: http://www.everyspec.com pdf [accessed 02/04/17]
284
Schimanski, J. (1991). Protecting electrical and electronic system against surge voltages.
“Praxisgerechter Uberspannungsschutz” Der Konstrukteur, Issue 1-2/1991
Phoenix-contact, (year) The basics of surge protection, available online:

http://www.phoenixcontact.com [ accessed 21/01/17]
DEHN+SOHNE- (2014) Lightning Protection Guide 3rd updated edition

(available online: https://www.dehn-international.com/en/lightning- protection-guide.pdf. [accessed
25/02/17]
IAEA Technical Documents (TecDoc.)(year) Handbook on protection of scientific instruments.

https://www.iaea.org
ZESCO (2015), Load Shedding Schedules, (available online

http://www.zesco.co.zm/customerCare/loadSheddingSchedule [accessed on 12/8/2016]).
285
DII 2017-038
An Audit of Embedding Sustainability Elements in Built
Environment Education in Zambia
Sambo Zulu1, Franco Muleya2
Abstract
The importance of the construction industry in achieving the nation’s sustainable development agenda
is recognised and has been a subject of research by many. It can be argued that to some extent that
sustainability is seen as a moral challenge to this generation. Several initiatives have been introduced
the world over to encourage the construction industry to support the sustainability agenda. Evidence
also suggests that many organisations have adopted initiatives to enhance their sustainability
credentials. The Zambian construction industry is currently thriving with infrastructure development
projects as one of the major sources of construction activities. In addition, the inward foreign direct
investment has resulted in precedent demand in the construction industry. The need for a sustainable
construction industry should therefore be an important consideration as the industry continues to
develop. This study acknowledges the significant role universities can play in driving the sustainability
agenda. As such the aim of this research was to evaluate the extent to which sustainability is embedded
in Built environment curriculum at a university in Zambia as a case study. A review of literature was
conducted to determine the effectiveness of sustainability education models. Interviews were also
conducted with heads of departments in the university in order to determine the extent to which
sustainability elements are embedded in their curriculum. The responses from these heads of
departments were verified by interviewing lecturers teaching relevant modules on the subject matter.
Students’ projects with sustainability elements were also examined as a verification process. Thereafter,
the approaches used in embedding sustainability in Built environment courses were evaluated. The
study concluded that all the departments at the University under study were aware and conscious of
embedding sustainability elements in the curriculum, however, not all departments had implemented
the sustainability embedment in the curriculum. The study further revealed that all the departments had
in one way or another included sustainability elements in students’ projects and dissertations at
undergraduate and post graduate programs. The study recommends full inclusion of sustainability
lessons and skills in the entire curriculum, but in conjunction with industry partners and stakeholders,
in order to fully meet the sustainable development goals 9, 11 and 12 which addresses Industry,
Innovation and Infrastructure; Sustainable Cities and Communities; and Responsible Consumption and
Production.
Keywords: audit, built environment, curriculum, education, sustainability

28
1School of the Built Environment and Engineering, Leeds Beckett University, Leeds, LS2 8AG, England;
[email protected]
2Corresponding author;School of the Built Environment, Copperbelt University, Kitwe, Zambia; Email:
[email protected]
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1. Introduction
Sustainable construction is one of the leading headlines in the global sustainability agenda. This is more
so that the construction industry is seen as a major consumer of the bulk of the ever diminishing natural
resources such gravel, cement, steel, timber, water, aggregates to mention a few. Further the
construction industry is seen to be a contributor to greenhouse gas emissions. This study focuses on the
role that universities can play in producing graduates that understand and contribute to the successful
achievement of the sustainability agenda through embedding sustainability elements in the curriculum
and research projects. The study further acknowledges that universities need to work with industry
partners and stakeholders who are one of the major stakeholders in the sustainability cycle. The study
further investigated the level of recognition of universities role in the sustainability agenda by key
partners and stakeholder in Zambia. The Zambian construction industry has over the last 10 years
witnessed a steady increase in construction activity in various sectors including infrastructure, housing
and retail. According to the Zambia Development Agency (ZDA) report for 2014, Zambia recorded
USD 3.3 billion in foreign direct investment mainly in the construction sector in 2014. Zambia
commissioned a number of larger infrastructure projects which were large consumers of natural raw
materials which included steel, aggregates for roads, cement for concrete production among others.
Other major projects included the link Zambia 8000 kilometres and pave Zambia 2000 kilometres. This
included, Copperbelt Province roads, the Mongu-Kalabo road project in the sandy terrain western
province of the country. Other projects undertaken included hydro power stations, and schools, among
others. Further the National Council for Construction report presented to the 2015 DII conference stated
that the number of local and foreign contractors grew from 1,307 in 2005 to 4,627 in 2014. The number
of foreign contractors rose from 26 in 2005 to 219 in 2015 representing significant growth in the
construction sector. It is therefore important that the sustainability agenda is promoted in the Zambian
construction industry taking into account the volume of work that has characterised the country. The
higher education sector is seen as key in delivering the sustainability agenda. It is evident, based on a
review of literature that universities world over can influence decision makers of tomorrow and as a
result, the approaches they use in instilling sustainability skills in students become important. This aim
of this study was therefore to provide an audit of the current approaches used in embedding
sustainability in built environment education in Zambia. This is a follow up study on Zulu and Muleya
(2017) in which they examined the student perceptions on sustainability considerations in construction
procurement at the same university.
Within the construction industry, a considerable body of literature (Miyakate, 1996; CIB, 1999; Hill
and Bowen, 1997) has identified certain principles for sustainable construction. These principles
include:
 resource consumption minimization;
 the maximization of resource reuse;
 use of renewable and recyclable resources;
 the protection of the natural environment;
 creation of healthier and non-toxic environments; and
 the pursuance of quality while creating the built environment
The above principles must be accepted and supported by all stakeholders on built environment projects
in order to attain the respective sustainable development goals. The implementation of the principles
must be measured against the goals in order to establish compliance of the projects to sustainability.
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2. Sustainability and the Role of Education
According to the World Commission on Environment and Developments (WCED, 1987) also known
as the Brudtland’s report, it defined sustainable development as ‘development that meets the needs of
the current generation without compromising the ability of future generations to meet their own needs’
(WCED 1987). It is generally accepted that this definition is broad and encompasses three strands,
namely environmental, social and economic sustainability (Zwinkle et al, 2014; Zeegers and Clark,
2014). Zuofa, T. and Ochieng, E. (2016) however highlights that irrespective of definitions, Atkinson
(2008) suggested that the basic intention of sustainability appears to be how replenishing the well-being
of living systems can be achieved over time
The Higher Education sector has been viewed as a key stakeholder in the drive for achieving the
sustainability agenda. The role of institutions of higher learning in driving the sustainability agenda has
been a subject of many studies. Some have, for example argued that universities train leaders of
tomorrow and therefore have an influence on future decision makers. As such universities can have a
significant part to play in creating a sustainable environment (Cortese 2003); Kalpana et al 2013. The
need for incorporating sustainability in university courses, built environment courses inclusive, has been
a subject of many studies (Ramirez, 2006). This incorporation can be extended to group and individual
course projects, dissertations and course work or assignments.
3. Sustainability Education Approaches

From the discussion above, it is clear that the higher education sector such as universities and other
training institutes and schools among others can influence decision makers of tomorrow. In view of
this, the approaches that they use in instilling sustainability skills becomes important. This study
provides an audit of the effectiveness of current approaches used in embedding sustainability in built
environment education in Zambia. This section provides an overview of different methods that can be
used to embed sustainability in curriculum. Today, there are more and more efforts to include Education
for Sustainable Development (ESD) in engineering education. Many projects relate to the development
of learning objectives or strategies for curriculum or course development for inclusion of ESD (Knutson
Wedel et al., (2005); Svanstro ¨m et al., (2008); Segala `s et al., (2009); Hargroves and Desha, (2010)
The method used to achieve a higher degree of embedding of ESD at Chalmers University of
Technology in Sweden involved the formation of a “resource group” of teachers from many different
departments, experienced in ESD. This group was given the task to approach teachers and programme
directors at Chalmers with the aim of embedding ESD in educational programmes, Sandstorm et al
(2012). In addition, they offered open lectures to incoming undergraduate and graduate students on
sustainable development and their role. Additionally, learning about sustainability was integrated into
master’s level engineering and architecture programmes. All students are required to take one
compulsory course in Environment and Sustainable Development. Courses are available in the different
disciplines, which allow students choice in how to fill the requirement, Johnson, (2007). According to
Fadeeva and Mochizuki (2010) universities play an important role for fostering Education for
Sustainable Development ‘by addressing sustainability through their major functions of education,
research and outreach. In the study by Matthias Barth and Marco Rieckmann (2016), it was concluded
that there is a clear need for more research on higher education for sustainable development from non-
Western researchers as well as for more research in non-Western countries. Conducting more research
in the – so far underrepresented – non-Western regions will help to better understand the relevance of
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different contexts as well as general drivers and barriers for implementing HESD and will contribute to
cross colonial boundaries. This is very important because the application of sustainability will vary
based on the region, capacity and technology in a particular area. The embedding of sustainability in
the curriculum will vary from region to region depending on the counties specific needs and capacity.
Amadora et al (2015) study confirms the idea that the development of academic staff abilities is an
essential prerequisite for a sustainability paradigm shift in higher education. This study shows the
importance of having a theoretical framework supporting a set of criteria through which curricular
assessment takes place, and provides a clear picture of the manner in which sustainability issues are
addressed in different courses. Curricula assessment should also be complemented with research on
pedagogical approaches and their effectiveness in delivering sustainability education, and ‘educating
the educators’, as stressed by Lozano and Young (2012). There has been an increasing interest in
integrating sustainable development into curricula at all levels, as well as methods to achieve this,
particularly in terms of students gaining an understanding of how their own decisions and actions of
groups, corporations and states affect the environment and society (Lozano 2012). Poon (2017) research
concluded that to effect a successful implementation of incorporating sustainability within the
curriculum, it is important to have support from all stakeholders, including academics and students. For
the academics, the sharing of their positive personal experiences and good practice with the
incorporation of sustainability within the curriculum is a suitable way to encourage their peers to do the
same. One of the ways to encourage students to support the incorporation of sustainability into the
curriculum is through recognising and rewarding their achievement; for example, awarding badges and
prizes to students who have engaged in sustainability.
A study by Lambrechts et al. (2013) within two Belgian Universities indicated that many higher
education institutions have integrated SD in competences and curriculum, The analysis pointed out that,
despite valuable efforts, the integration of SD in competences showed some deficits: it was too implicit,
too fragmented, and incomplete. Ekene and Suleh (2015), concludes from their study that the role of
Marist International University College (MIUC’s) curricula in contributing to sustainable development
in Kenya could not be overemphasised. MIUC’s curricula enhance environmental, socioeconomic,
political and psycho-spiritual development in her graduates. MIUC provided an environment conducive
to teaching and learning. Despite the role of MIUC in enhancing sustainable development in Kenya, it
is faced by the challenges of financial constraint, limited programmes, and low enrolment of students,
exodus of lecturers and lack of hostels. The study therefore made the following recommendations that
Government should acknowledge the role private universities in Kenya are playing for sustainable
development and fund them fully as it funds public universities. This is important because government
is the owner of major development activities that affect sustainability issues. Lozano and Lozano (2014)
states that with a growing interest in sustainability, a number of universities have engaged in educating
the future leaders, decision makers, scientists, and engineers on how their decisions can help societies
become more sustainable. In this study, the process for developing the Bachelor’s degree curriculum in
Engineering for Sustainable Development at Tecnológico de Monterrey in Mexico was undertaken.
While one approach of introducing sustainable development is embedding sustainable elements in the
curriculum, one other way of to develop programs that wholly focus on sustainability in almost all
sectors of the university programs to address industry challenges that border on sustainability. Table 1
shows the many sustainability based courses developed in various universities.
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Table 1: Examples of Degrees in Engineering and Sustainable Development (Adapted from Organisational Sustainability, 2013 and Lozano and Lozano,
2014)
Degree Level Institution Country
Bachelor of Engineering in Sustainable Electrical Power Engineering Bachelor University of Greenwich UK
Bachelor Sustainable Energy Bachelor Copenhagen University, College of Engineering Denmark
BSc Chemical Engineering in Sustainable Chemical Technologies Bachelor Berlin International College Germany
BSc Environmental Engineering Bachelor California Polytechnic State University USA
BSc Environmental Engineering Bachelor Cornell University USA
BSc Environmental Engineering Bachelor Drexel University USA
BSc Environmental Engineering Bachelor Florida State University USA
BSc Environmental Engineering Bachelor Johns Hopkins University USA
BSc Environmental Engineering Bachelor UBC Canada
BSc in Environment and Energy Bachelor Rhine-Waal University of Applied Sciences Germany
BSc in Environmental Engineering Bachelor Novia University of Applied Sciences Finland
BSc in Sustainable Electrical Technology Bachelor Institute of Technology Blanchardstown Ireland
BSc EnvE Environmental Engineering Bachelor Georgia Institute of Technology USA
Business Engineering Sustainable Energy Systems Bachelor Hochschule Luzern Switzerland
Civil Engineering: Sustainable Building Engineering Bachelor Helsinki Metropolia University of Applied Sciences Finland
Civil, Environmental and Sustainable Engineering and Construction Bachelor Arizona State University USA
Engineering (Mechanical and Sustainable Systems Bachelor University of South Australia Australia
Engineering (Sustainable Systems Engineering) Bachelor Royal Melbourne Institute of Technology Australia
Engineering in Sustainable Energy Bachelor Cork Institute of Technology Ireland
Engineering in Sustainable Energy Engineering Bachelor University of Adelaide Australia
Engineering Sustainable Energy Systems Bachelor Australian National University Australia
Engineering with an Alternative Energy Technology Concentration Bachelor Wayne State University, College of Engineering USA
Mechanical and Sustainable Energy Bachelor University of Adelaide Australia
Sustainable Design Engineering Bachelor Dundalk Institute of Technology Ireland
Sustainable Energy Bachelor Cork Institute of Technology Ireland
Sustainable Energy Engineering Bachelor Athlone Institute of Technology Ireland
Alternative Energy Technology Master of Science Degree Program Master Wayne State University USA
Civil, Environmental and Sustainable Engineering, Master of Science (M.S.) Master Arizona State University USA
Clean Energy Master UBC Canada
Construction Management and Sustainability Master University of Pittsburgh USA
Engineering Sustainable Systems (MSc and MScE) Master University of Michigan USA
Mining Engineering, Specialisation in Mining Sustainability and the EnvironmentMaster UBC Canada
MSc Sustainable Energy Technology Master TU Delft The Netherlands
MSc Sustainable Process and Energy Technology Master TU Delft The Netherlands
MSc Civil, Environmental and Sustainable Engineering Master Arizona State University USA
Sustainable Energy Engineering Master Royal Institute of Technology Sweden
Civil, Environmental and Sustainable Engineering and Construction Master/PhD Arizona State University USA
Sustainable Urban Planning and Development Master University of Johannesburg
290
Table 1 shows some of the various sustainable related programs at Bachelors, Masters and Doctorate
level offered by various Universities world over. The table illustrates that there are many programmes
in different disciplines and professions that embrace sustainable development. This signifies the
breadth and depth to which teaching and research institutions have gone in embracing sustainability in
different fields of study and research.
4. Methodology
In this study a desktop study of literature review on sustainability in the university education curriculum
was carried out. The study took a simple audit of the curriculum in the Built Environment School of a
University in Zambia as a case study. The university and industry institutions were selected through the
case study approach because of the limited availability of built environment schools and regulators in
the country. Literature on sustainability in a University in the region was also considered. Interviews
were also conducted with 5 heads of departments under the Built Environment School. The purpose of
targeting the departmental heads was to get the current status regarding embedding of sustainability
skills and knowledge in the curriculum, and students research projects. The responses from heads of
department were verified by interviewing lecturers in relevant courses. Students’ projects were also
examined to verify the embracing of sustainability aspects in their projects. Managers responsible for
promoting sustainability at local institutions in the industry were also interviewed in order to establish
expectations of sustainability skills and knowledge from graduates in the industry.

Construction Regulator 1 indicated that despite not enforcing sustainable development in the industry,
one of its mandates was to champion sustainable housing, sustainable constriction and suitable designs.
The regulator clearly stated that they were looking to research institutions such as universities to play a
major role in delivering solutions that hinge on sustainability. It is therefore important for universities
to provide leadership and equip students with sustainability skills as they become decision makers.
The Local authority in which the university is located stated that it is aware of the need to become green
and sustainable in all the infrastructure projects, however they have no capacity incorporate
sustainability elements in development. The authority indicated that they were relying on stakeholders
such as research institutions and universities for driving the sustainability agency. Local authorities
normally require that the proposed sustainable designs, materials, practices and methods are
demonstrated before the authorities before approve and adopting them. Financial constraints and lack
of stakeholder commitment were cited as the main reasons for less activity and movement in the
sustainability direction of developing the Built environment from a research and application point of
view. It is clear that developing countries face similar challenges when it comes matters of
sustainability. This account further confirms the role that the university has to play in championing the
sustainability agenda in the country hence the need to carry out an audit to establish the level of
sustainability in the curriculum
Interviews were conducted in the five heads of department from the five departments in the university’s
school of the built environment and part of engineering. The departments offer various degree programs
including Architecture, Quantity surveying, construction management, urban/regional planning and
Real Estate. As discussed above, the purpose of the interviews was to determine the extent to which
sustainability has been embedded into the course curriculum. Interviewees were firstly asked to review
291
the extent to which sustainability skills were included in curriculum. Secondly interviewees were asked
to evaluate the extent to which sustainability is included in student projects. Table 1 presents a summary
of the findings.
Table 2: Sustainability embedment responses at a local university in Zambia

Department Sustainability Sustainability lessons and Plans to formally introduce Sustainability
lessons and skills skills included in projects lessons and skills in curriculum in
included in and dissertation. conjunction with industry partners
curriculum
A  

B   
C X  
D X  
E X  Not Sure
Results from the interviews indicated that two of the five departments had commenced the process of
embedding sustainability lessons and skills in the curriculum. Three other departments had not yet
commenced the process. Two of three departments however indicated that they have plans to introduce
sustainability aspects in consultation with industry partners while one was not sure. The general
response form the departments was that clients, institutional and industry stakeholders do not have an
aggressive agenda to embrace substantiality hence slow rate of adopting it in the curriculum. Research
projects in the built environment school had done well in addressing some of key elements of
sustainability in areas such as land use planning, use of mine waste products as construction raw
materials, green leasing and sustainable designs that meet local needs of clients. All the departments in
the Built Environment and part of engineering schools exhibited evidence in efforts to address
sustainability related aspects through selected student research projects. The challenge lies in the fusing
in of sustainability aspects in the program curriculum in consultation with industry stakeholders.
Limiting embedding of sustainability elements in research projects alone is not enough to influence
good practice where sustainability of the construction industry in concerned. The current curriculum
does not contain sustainability elements. Sustainability aspects alongside sustainable development goals
are mentioned informally and not necessarily as a major element. This requires serious curriculum
review in partnership with industry and other research stakeholders.
6. Conclusion
The study concluded that all departments in the built environment school have sustainability
components but only in the research component carried out by students which is a very good indicator.
The results show that it is very possible to fully embed sustainability lessons and skills as part of the
curriculum because that is already happening at individual and group project level. Depending on the
extent of the curriculum review required some changes may require senate approval while some may
not. It is worth noting that sustainability skills and lessons in the curriculum cannot be developed or
embed without the key stakeholders’ involvement such as clients’ consultants, local authorities,
regulators and relevant government ministries. Much of the industry practice today remains
unsustainable in terms of design, practice methods, materials and waste management. The study
recommends speedy consideration of fully embracing sustainability lessons in the curriculum in order
to meet s the Sustainable Development Goals (SDGs). Further, it has become acceptable practice to
292
embrace sustainability in the education systems in order to develop minds that will always embrace
sustainability aspects in industry at all levels. Currently the curriculum has no elements of sustainability
in them thereby presenting a major gap in the training process of the students. The formal introduction
of sustainability lesson and skills in the Built Environment and Engineering curriculum can play a
significant role of influencing sustainable practice in the Zambian industry thereby preserving
diminishing natural resources and maintaining a greener environment.
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DII-2017-055
Commercialisation of Bamboo in Ghana: How Sustainable

in Infrastructure Development
Damenortey R. Akwada1, Esther T. Akinlabi2
Abstract
Bamboo is a multi-purpose composite material with wide industrial applications.The accelerated
deterioration of Ghana’s forest timber as a result of high demand for its products and unlawful
harvesting practices has led to exploitation of other non-forest resources like bamboo The study
examined the commercialisation of bamboo as an alternative material to timber, its sustainability to the
infrastructure development and effects on rural livelihood in Ghana. The primary data collection was
attained through a structured survey study which employed questionnaires, interviews, observations,
pictures in the three regions under consideration. Data were analysed using descriptive statistics and
regression analysis method from which a total of 300 respondents were involved in the three regions of
study. The results show that Eastern region has an average total cash income of 64% with Ashanti
having 27% and Western region with only 9%. Bamboo commercialisation in Ghana would boost the
economy and infrastructure growth of rural livelihood, provide material for construction industries,
reduce the over-dependence on timber for construction and provide the nation with foreign
exchange.There is a prospect for sustainable rural income and commercialisation in the construction
and wood industries.Though bamboo commercialisation had received little consideration in the wood
industries in the past decades, it has been boosted currently with the development of the value chain
with effective, sustainable management systems. The development of infrastructure for connecting
resource and consumers through awareness creation among producers may boost and improve the
availability of the resources.There is a need to enhance a sustainable bamboo cultivation and treatment
process by creating a connection between all stakeholders in the commercialisation of Bamboo in
Ghana. This will help in realising a sustainable wood and construction industry.
Keywords: bamboo, commercialisation, construction, Ghana, infrastructure, sustainable
29
1. Introduction
Bamboo a non-timber forest product (NTFP) has been consideredsignificant resources for rural
communities and a sustainable use of the natural forest. Bamboo has a high economic and
environmentally sustainable development which has received increasing interest among scientific
researchers (Wunder et al. 2014). Bamboo is abundance across Ghana’s ecosystems, from the
1Doctoral Candidate; Mechanical Engineering Science; University of Johannesburg; P.O. Box 524 Auckland Park 2006, South
Africa; [email protected].
2Vice Dean; Faculty of Engineering and Built Environment; University of Johannesburg; P.O. Box 524 Auckland Park 2006,
South Africa; [email protected].
296
rainforests to the dry savanna zones which increase the worth of the forest making it an incentive for
preservation (Belcher et al. 2005). It is a fast-growing natural plant, renewable, environmentally
friendly, cheap and a multipurpose material having several applications (Lobovikov et al. 2011: Perez
et al. 2004). Bamboo is the most efficient plant that is used in solving many environmental issues as
well as providing socio-economic needs of most rural communities and as a raw material for Ghanaian
wood industries (Xuhe, 2003). Bamboo is used at all levels of industrial applications ranging from small
to large scale industries such as construction, craftwork and other works (Lobovikov et al. 2011). The
significance of bamboo in construction is due to its mechanical properties like high strength to weight
ratio, tensile strength and high specific load bearing capacity(Tada et al. 2010; Ghavami 2005). These
properties make it an alternative material for the wood and construction industries in Ghana. Its
applications in the construction sector include scaffoldings, trusses, bridges and furniture. However,
despite its numerous benefits, the major setbacks to bamboo commercialisation in Ghana is the limited
capacity of local firms (small and medium scale enterprises) to meet the global competitive value chains
standard (Belcher 2007; Oteng-Amoako et al. 2004). The efforts to commercialise bamboo and its
products through value addition are still inadequate as most products produce of low-value subsistence
due to lack of technological transfer. This study examines the commercialisation of bamboo and its
products, its sustainability to the wood and construction industries for a sustainable infrastructure
development in Ghana.The commercialisation development can be broadly classified into three
interrelated methods such as (a) value chains, (b) sustainable rural income and (c) challenges. The value
chain method arose in response to bridge the limitations associated with the commercialisation by
complementing the preceding methods (Figure 1), which have a large rural emphasis with weakness in
linking the various stakeholders in the process (Jenssen 2009). The sustainable rural income method
deals with the understanding of livelihood possessions and revenues mainly at the rural communities
(Kanji 2005).
2. Commercialisation
Commercialisation comprises of the incorporation of a product or services into a market economy. The
incorporation could be stated as due to improved economic trade value or by the percentage sale to the
overall revenue (Nepal and Thapa 2009; Marshall et al. 2006). When the percentage of production
ending in the market is higher than the general sustenance sale, the product is mostly considered as
commercialised. Similarly, commercialisation can also be described by the form of the value chain
strength. When a product or service attracts more demand, a related increase in the value chain length
and complexity may be detected. Commercialisation may also occur at the input side, as manifested by
the greater use of purchased inputs and management investment in domesticated or wild systems
(Lemenih et al. 2011). The commercialisation of a product can be stirred or deterred by factors ranging
from household characteristics to wider institutional and policy environments. Product
commercialisation can be affected by external factors on infrastructure development, technological
change, demand for the product, the extent of land use diversification, the level of input use and intensity
of management (Marshall et al. 2006; Nepal and Thapa 2009; Hichaambwa and Thomas 2012).
However, bamboo is in Ghana, especially in its industrial form, requires much processing and a modest
level of manufacturing technology to realise quality product development and enter into a competitive
market. In this study, it can be said that development of technological, product and organisational
(entrepreneurial) innovation is crucial to inspire value-added commercialisation of bamboo in Ghana.
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Raw Transformation Consumption
material
Primary processing Secondary processing
Drying Framing
Urban small-
Chemical treatment Weaving Urban and
scale enterprises
Cross cutting Curving foreign users
De-noding
Furniture
Handicraft
Rural small-scale Urban and
enterprises Drying foreign users
Cross cutting
Splitting
Scrapping
Sanding Bending Rural household
Peeling Weaving
General uses Sewing
Bamboo resources Fencing Lining
Farm land TV poles
Forest reserves Drying lines Basketry
Plucking stick Mat Rural builders
Fallow lands
Sheds Lazy chairs Fisher folks
Walking stick Rural merchants Bows and
Cross cutting arrows
Fish traps
De-noding
Fishing rafter
Splitting Urban culm
Roof binders
vendors
Goal posts
Urban builders
Figure 1: Current bamboo value chain structure of commercialisation in Ghana.
2.1 Bamboo commercialisation globally
There are over 1500 recognised applications of bamboo worldwide(Bystriakova et al. 2004). Globally,
it is stated that there are over 2-3 billion people who depend on it for their daily sustenance (Lobovikov
et al. 2011). In Asia, bamboo contributes to the highest value of economic returns to most countries
with 2 million artisans in India and more than 1000 large processing firms buy millions of bamboo
culms from farms in China (Zehui et al. 2012). Bamboo’s image is improving from poor-mans-timber
to a global commodity (Lobovikov et al. 2007) with a global market value of nearly US$10 Billion
(INBAR 2014). Due to its recent growing recognition through improvement of its processes, its worth
has been growing steadily (Lobovikov et al. 2011). The industrial production value of bamboo in China
has increased from the US$13.1 Billion in 2010 to US$ 19.5billion in 2012 while in Indian it was
expected to reach US$ 4.4 billion in 2015, which is a considerable improvement from US$ 35million
in 2003 (INBAR 2006). There is a significant increase in the export of higher technology value-added
bamboo products (e.g. engineered bamboo panels and others) compare to the traditional products from
bamboo (e.g. mats and basket) (INBAR 2014). There is a total of (US$ 1.9 Billion) global market with
29% industrialised products and 25% being woven products (INBAR2014). The three top importers of
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bamboo and its products in the world include United States, European Union and Japan accounting 72%
of the total world imports in 2012. China, Vietnam, Philippines, Singapore, Thailand, Indonesia,
Malaysia and Myanmar being leading producing and exporting countries. China is the largest exporter
of both traditional and high technology bamboo products (INBAR 2014) with a global market share of
over 70% (Hogarth and Belcher 2013). China also has the largest workforce in bamboo research and
development with a total of 450 bamboo products and patented technologies, intellectual property
rights, as well as over 500 practical techniques on bamboo utilisation developed (Xuhe 2003). Due to
China’s advancement in bamboo commercialisation, other countries planning to commercialise their
bamboo resource often focus on them as a model source of technology and motivation to develop, while
they serve as major entry barriers to global industrial bamboo trade. According to previous studies from
Latin America and South East Asia (Takahashi 2006), it was found difficult to compete with established
Chinese firms. The need to copy Chines technology is seen as a global asset for bamboo
commercialisation, while China’s excessive domination of the global bamboo production and trade
could be a liability for newcomers in the bamboo business.
2.2 Bamboo commercialisation in Africa
In Africa, there are over 50 species of bamboo found naturally distributed in vast areas of more than 4
million hectares. They are spread in the natural forest across the continent. Bamboo has not been given
much preference in Africa compare to traditional wood, and its application is widely seen in small
crafts, low-cost houses, fencing, partitioning of walls and as a weapon (Obiri and Oteng-Amoako 2007).
Moreover, the level of technology for bamboo utilisation in the continent remains largely traditional,
and a few processing firms (Zhang et al. 2003). In the few decades past, research has increased in the
continent especially within INBAR member countries such as Cameroon, Ghana, Kenya, Nigeria and
Togo, on its utilisation, development and policy issues (Zhang et al. 2003). There have also been
baseline surveys by INBAR about the production - consumption systems of bamboo in several African
countries. They are still limited in scope and are not adequate to bring about bamboo commercialisation
in the region. Thus, although the resource is native to this region, Africans bamboo utilisation, product
awareness and market integration are far lower than Asian countries (Ingram and Tieguhong 2013).
Consequently, technology transfer from Asia to African is considered as a possible option for a
technological catch-up and commercial competitiveness.
2.3 Bamboo commercialisation in Ghana
A study conducted by Forestry Research Institute of Ghana (FORIG) and International Network for
Bamboo and Rattan stated an estimate of 400, 000 to 600, 000 hectares of bamboo available in Ghana
(FAO 2005; INBAR 2006; FORIG 2014) corresponding to approximately 4.3% of the global bamboo
supply. Ghana can sustainably produce 3 to 4 million cubic meters of bamboo culms weight annually
(INBAR 2006; FORIG 2014) from both native species such asBambusa vulgaris, Bambusa v. vittata,
and Oxytenanthera abyssinicaand exotic species like Dendrocalamus strictus, Bambusa arundinacea.
Despite its many potentials, its uses in Ghana are limited to the construction of low-cost houses,
furniture, handicrafts and partitioning. The various characteristics associated with bamboo and its
availability in the country would enhance the commercial process and help in rural development. It is
little, or no research work on bamboo commercialisation in the country and the current state of its
marketing needs improvement. The trend of its usage in building and construction industries is
increasingly gaining attention for commercialised utilisation in Ghana (Table 1) (Jansen 2000).
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Table 1: Some applications of bamboo in the building and construction industries
Applications Reference
Bamboo floorboards Xiao et al. (2009)
Bamboo reinforcement Iyer (2002)
Ceiling Bandara(1990)
Doors and windows Gangopadhyay (2003)
Formwork Recht et al. (2001)
Ladder Chung et al. (2003)
Landscape Tekpetey (2006)
Roofing Shyamasundar (2005)
Scaffolding Chung et al. (2003); Janssen (2000)
3. Materials and Methods
The study was carried in three selected regions of Ghana which includes Ashanti, Eastern and Western
region (Figure 2). The stakeholders include farmers, artisans, harvesters, vendors of culms, workers of
wood and construction industries. Bamboo harvest from these regions is mostly extracted from the
forest with few hectares being managed by commercial farmers and research institutions. In theses
regions, the dominant species of bamboo identify includes Bambusa vulgaris, Bambusa v. vittata the
local species and the exotic species include Dendrocalamus strictus, Bambusa arundinacea. There are
several differences among the study regions regarding socioeconomic, cultural and land tenure systems.
Figure 2: Map of regions for the survey in Ghana.
3.1 Data collection and analysis
3.1.1 Data collection
The data was collected through field survey such as interviews, questionnaires and observations in each
of the three regions with stakeholders. The survey further looked at the production-level in each growing
areas of the study. The survey questionnaires covered topics such as bamboo cultivation and
management system, techniques for harvesting, treatment knowledge, the number of culms consumed
and retailed annually, basic bamboo products, prices and income, traditional uses and modern uses.
The data on price and revenue of culms were collected at the various local markets of its products from
each region by interviewing stakeholders, the average cost of 200 counts of culms was used in
calculating of income and revenue ratios. Sustenance revenue for each region was estimated by
assigning cash income equivalents based on the average local bamboo price per culm during the survey
and multiplied by the estimated number of bamboo culms consumed by customers annually.
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3.1.2 Data analysis
The data collected from the various regions were analysed using descriptive statistics and regression
analysis. Data gathered through deliberations with individuals, observation, with small and medium
scale workers, and qualitative interviews were analysed qualitatively. Income and commercialisation
margins at the producer level of bamboo were analysed using descriptive statistics and regression
analysis. Furthermore, income analysis, average prices of culms from each region was used, assumed
that data based on price from each area of study is provided. Subsistence equivalents were derived from
the selling price of bamboo culms sold in each region under this study. Finally, subsets regression
analysis was used as a determinant to analyse bamboo commercialisation in the country with the rate
of commercialisation taken as the dependent variable.
4. Results
4.1 Value chain
4.1.1 Bamboo culm production
Bamboo culm value chain starts with the plantations of the plant through its various production
processes in each of the regions: the natural bamboo forest in Ashanti, Eastern and Western are managed
by the (FORIG) and land owners. The study indicates that the main actors of culms production,
harvesting and selling in these study are the landowners, harvesters and farmers. The culms harvest
from farmlands, or the forest is sold to vendors who also sell it to wood firms with the remaining for
domestic usage. Results show that harvesting culms from commercial farmland are strictly the mature
culms. Most of the culms harvest from the rural areas of the regions of study are then transported to the
main cities and towns as vendor's retrade them to wood sellers, construction firms, timber companies
and artisans. It also came to light that vendors who buy culms in these areas fixed prices through
negotiations per 200 counts. Some commercial farmers sell culms directly to industries that process
them into useful products such as furniture, curtains, bamboo pellet, bamboo panels and boards.
4.1.2 Bamboo culms processing and consumption
Culms processing starts after harvest through various treatments to final consumption. From the three
study areas, similar process practice was identified. The harvesters of culms by rural dwellers, prepare
them for temporal household items like furniture, low-cost house constructions, construction of bridges,
ladders, scaffolding and equipment for local consumption. It came to light that industrial processing of
the culms occurs mostly in the urban areas with the major concentration being in the regional capitals.
Some industries primarily produce bicycles, furniture, bamboo boards and floor tiles, pellet and
charcoal using the traditional and modern equipment. The rural processors developed skills through
internships with other processors. Most processors in the countryside sell their products at centres of
production, having no sale centres but those with modern industries add value and export their products.
Buyers interest of bamboo products varied with individuals perception with consumers being attracted
by cheap products to high-quality products which combine traditional methods with the modern system
of designs. Artisans and enterprises produce different types of quality bamboo products for foreign
exchange.
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4.1.3 Relationships in the value chain systems
In the Ashanti and Eastern regions, the value chain has a broad relationship and more complex as
compared to a Western region in this study (Figure 3). This system of value chain was noticed among
the stakeholders in the trade of culms in the area. (a) harvested culms are treatments and processed into
products and traded to the towns and cities for consumption. (b) raw harvested culms are transported
by vendors to major towns and cities in the country by suppliers and processed by wood and
construction industries. (c) skilled artisans also use the raw culms for traditional value-added designs
and construction of houses in the region after treating the culms from insects and fungi using the
traditional method. (d) Small and medium scale enterprises produce furniture, mat, toothpicks, pellets,
boards, bicycles, briquette, charcoal, and other products to consumers in the towns and cities and also
export to other countries.
Final consumption Final consumers/users (raw culm/value added for foreign exchange)
Bamboo culms wood industries/ Artisans/

processing
construction sectors Enterprises/Firms
Bamboo culms
trade Culm traders
Bamboo culms
Landowners/ Farmers/Harvesters/Firms
harvest
Bamboo resource
base Commercial Farms/Bamboo Forest
Figure 3:Value chain structure of bamboo commercialisation in Ashanti and Eastern regions.
The Western region, on the other hand, shows that key stakeholders in the chains are harvesters, farmers
and consumers being involved in the commercialisation chain (Figure 4). In this region, farmers and
harvesters of culms do consume the chunk of the harvested culms for the construction of low-cost
houses, temporary structures, fences and for supporting stakes for weak-stemmed crops like banana and
plantain. The study also discovered that the buyers of culms fixed the prices for culms per tonnes in this
study areas with a low structure of value chain relationships due to the locations and the road networks
in this areas.
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Local and Temporary structure and
Final consumption commercial crop low-cost houses builders,
farmers furniture makers
Bamboo culms
Artisans (in
processing
person)
Bamboo culms trade

Culm traders
Bamboo culms
Farmers/Harvesters
harvest
Bamboo resource base

Bamboo Forest
Figure 4: Value chain structure of commercialisation from the Western Region of Ghana.
4.1.4 Income and income ratios
The total average income of bamboo from the study areas was realised to differ from one region to the
other with Ashanti and Eastern regions having the highest income ratios. The Eastern region of Ghana
has the highest pay for a total of 200 pieces of bamboo culms count due to its nearness to the nation’s
capital where the demand is high. From the data collected, an average quantity of 200 hundred pieces
of culms costs in a range of GH₵150.00 to GH₵50.00 depending on the size from the region, equivalent
to (US$37.5 to US$12.5) for culms harvest from traditional land owners or custodians by a harvester.
In the case of commercial farms, a similar quantity of culms harvest costs GH₵100.00 which is
equivalent to (US$25). Also for the same number in Ashanti region goes for GH₵50.00, equal to
(US$25.00) for culms harvest from traditional land owners or custodians by a harvester. However,
Western which has about 60% of the nation's stock has the lowest cost for the same quantity of 200
counts going for GH₵20.00, equivalent to (US$5) for culms harvest from traditional land owners or
custodians by the harvester. The Eastern region attained the highest average total cash income of
GH₵4742.50, followed by Ashanti region with GH₵11453 and Western region with GH₵1617.9
(Figure 5a). The Eastern region has an average total cash income of 64% with Ashanti having 27% and
leaving the Western region with only 9% (Figure 5b). The income ratios between these areas show that
stakeholders in Eastern regions make about two times more than those in Ashanti region and seven
times those in the Western region. The booming of bamboo trade among interested parties in the Ashanti
and Eastern regions of Ghana gives high prospect for the commercialisation of the material in the
Ghana. The activeness stakeholders in promoting the bamboo trade in these areas help to
commercialised it in Ghana.
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Total annual harvest and incomes Annual cash income % per region
25000
20000 9%
15000 27%
10000
5000
0
Ashanti Eastern Western 64%
Total annual har. of culms

Av. total ann. cash Ashanti Eastern Western
Figure 5: (a) Total annual culms harvest and average (b) Percentage annual cash income per each
cash for each region region
4.1.5 Sustainable rural income
From this work, it was realised that over the past few years, bamboo had been a major financial booster
to most of the rural youth, farmers and landowners who get into its harvesting for trade. There is a
readymarket for its trade, especially in the Ashanti and Eastern region. There are more uses of bamboo,
and its commercial value is being appreciated as more rural dwellers are getting involved for their
sustainable livelihood. The commercial exploitation of bamboo culms for the production of products
like charcoal, bicycles, furniture and boards is helping rural dwellers with sustainable financial income
as they engage in its trade. Also, bamboo is used by rural dwellers in these regions of study as a
sustainable plant for restoring degraded lands.Bamboo and Rattan Development Program (BARADEP),
Ghana are developing a sustainable bamboo sector in the rural areas of study, and this would boost
financial incomes of stakeholders. They are distributing high yield bamboo species to the individual,
farmers and organisations, which are into its cultivation in these areas as they monitored their growth
conditions and adaptability in Ghana. Its aim is to provide adequate planting materials for private and
commercial bamboo plantation developers in the country to serves as a booster for sustainable financial
stability for the rural dwellers who engages in its trade. Bamboo commercialisation in Ghana would
enhance building green economies and also increase the incomes of all stakeholders in its value chain
process.
4.1.6 Challenges to bamboo commercialisation in Ghana
The biggest challenges facing bamboo commercialisation in the country include (a) slow stride by the
state to support the development of its commercialisation from plantation through processing in the
country. (b) unsustainable bamboo resources base, (c) reluctant by financial institutions to provide
credit facilities and loans. (d) technological gap is a major hindrance to its commercialisation. (e) Small
and medium scales enterprises lack organisational structures. (f) Low-Quality products in the market,
(g) inefficient processing of culms, and (h) getting support from stakeholders is difficult.
5. Conclusion
The finding shows that there is an increase in bamboo usage in the country with the three regions as
baseline among stakeholders. There is a great prospect for its commercialisation with corresponding
304
high cash and total income from its trade. The study reveals that the proportion of commercial use of
bamboo in the country is group into rural and urban utilisation with 60% of total productions being
consumed in the major cities. The Western region has 60% of the nation’s bamboo resource but, has
the least of in its trade due to the remoteness and lack of roads connecting the resource areas.
Consequently, the bamboo value chains originating from the Ashanti and Eastern region are longer and
denser than that of theWestern region, where only direct harvester and consumer transactions prevail.
The distance of resources from cities largely explains the commercial differences among the
regionswith the Eastern region having the highest marketing trade. Provision of high-quality species,
technology, loan facilities from banking institutions, training to stakeholders and structured
organisation of small and medium scale enterprises would promote its commercialisation in Ghana. The
government must improve access roads to the resource areas in the regions to boost trade among
stakeholders in the value chain for its commercialisation. Finally, publicpolicy towards promoting a
sustainable commercialisation development in the country is required for its sustainability.
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DII-2017-021
User Perspectives on Transport Infrastructure in
Johannesburg: Challenges and Opportunities for the
Public Sector
Rose Luke1
Abstract
Cities in developing countries tend to have considerable challenges in creating appropriate levels of
urban mobility. A key intervention in alleviating this problem is the development of transport
infrastructure. Despite policy interventions, urban mobility remains below average in Johannesburg,
South Africa, which can partially be attributed to the deterioration of transport infrastructure. The
purpose of this paper is to identify critical areas for public sector intervention to better support the
creation of urban mobility in a developing country environment. The study used an opinion poll of over
700 Johannesburg residents to investigate user perspectives on transport infrastructure and its
appropriateness in meeting mobility needs. Descriptive statistics were sought using SPSS for Windows
version 23. The results showed that Johannesburg residents generally believe that transport
infrastructure is underperforming, although some elements are in better condition than others. Taxis,
which are the most used form of public transport, are believed to have infrastructure (ranks, stops, etc.)
which is in the worst condition, whilst highway infrastructure is considered to be the best. Users believe
that potholes, traffic lights and road capacity are the most important issues that need to be addressed in
the city. The study showed that, despite policy interventions, the provision of transport infrastructure
is lagging. The study also highlighted areas in which specific interventions are required. In addition, it
prioritised areas which require policy, planning and physical attention from policy makers. This study
provides the only empirical evidence of public sentiment regarding transport infrastructure in the city
and is therefore of major value to city planners in attempting to meet the transport infrastructure needs
of city’s residents.
Keywords: developing economies, mobility, policy, South Africa, urban transport infrastructure
30
1. Background
A functional transportation system is critical to the efficient and effective functioning of cities.
Pinderhughes (2004) states that “Transport is essential to the operation of cities and to the economic
and social base of urban areas because it functions to bring raw materials together to create products
and services, connects goods and services to markets, and bring workers and others to and from their
places of work, school, consumption, and recreation.” United Nations Department of Economic and
Social Affairs (UNDESA) considers transport in cities from of an accessibility perspective, stating that
1SeniorLecturer; Department of Transport and Supply Chain Management; University of Johannesburg; P O Box 524,
Auckland Park, Johannesburg, 2006; [email protected]
307
“Transport plays a crucial role in urban development by providing access for people to education,
markets, employment, recreation, health care and other key services.” (UNDESA, 2011). It is evident
from these statements that transport forms the backbone of the movement of people, products and
services within the urban environment and that “large cities obviously cannot be supported without a
vast and complex transport system” (Rodrigue, 2013). Without adequate transport operations and
infrastructure in urban environments, goods and people do not move effectively. Without this mobility,
not only is the productivity of the city impacted and the price of goods affected, but also the quality of
life within the city.
Despite its importance, creating a functioning transport system within an urban area is uniquely
challenging. “Designing corridors, streets and thoroughfares to provide safe movement and access to
people and goods, by cost-effective means, involves application of management and technology to
resolve many social, economic and political forces.” (Kennedy, Miller, Shalaby, Maclean, and
Coleman, 2005: 393). Rodrigue (2013) regards some of the major urban transport problems as
congestion and parking problems, long commutes, public transport inadequacies, difficulties in non-
motorized transport, loss of public space, high maintenance costs, environmental impacts and energy
consumption, accidents and safety, land consumption and freight distribution.
These typical urban transport problems tend to be exacerbated in developing countries where the skills,
political stability and will, regulatory environment and financial resources are frequently insufficient to
address mobility issues within large cities. A German Technical Cooperation Agency (GTZ) report
summarizes urban transport problems in developing countries as congestion, fatalities and injuries due
to traffic accidents; increasing demand for mineral oil fuels, severe air pollution, increasing noise levels,
and a loss of urban liveability and green spaces due to transport activities adversely affects city
development; and the high growth of the transport related CO² emissions (GTZ SUTP, 2010). “These
developments discourage the attractiveness of cities and their economic well-being. From the social
point of view the trend towards individual motorisation causes unequal mobility chances and disparities
in burdens and advantages…” (GTZ SUTP, 2010: 7). Typically, “Accessible and affordable public
transport service and safe infrastructure for non-motorized transport such as cycling and walking are
lacking in most developing country cities” (UNDESA, 2011: 1). These types of urban transport
problems are evident in many developing countries, with South Africa being no exception.
The Numbeo traffic index (2016) “is a composite index of time consumed in traffic due to job commute,
estimation of time consumption dissatisfaction, CO² consumption estimation in traffic and overall
inefficiencies in the traffic system.” According to this index, the major South African cities do not fare
particularly well, with Pretoria rated in 15th position, Johannesburg at 25th, Cape Town at 30th and
Durban at 56th. Part of this index measures inefficiency, which is an estimation of inefficiencies in the
traffic, with high inefficiencies it assumes driving, long commute times, etc. (Numbeo, 2016).
According to this index, Pretoria is the most inefficient city in Africa (and the 5 th most inefficient
globally), followed by (in order) Cairo, Nairobi, Johannesburg, Cape Town and Durban. These figures
provide an indication of some of the urban transport mobility issues within the country.
Johannesburg, the largest city in South Africa, is regarded as a developing country city with below
average mobility (Little, 2014). Van Dijk and Hitge (2012) argue that getting more people to switch
from car travel to public transport requires that compact urban forms be developed, improvements are
made to public transport infrastructure, more effective integrated operations are provided and marketing
and communications are improved and that these need to happen simultaneously. This is supported by
308
Kennedy et al. (2005) who argue that there are four pillars to sustainable mobility, i.e. governance,
financing, infrastructure and neighbourhoods. To create higher levels of mobility in cities in developing
countries, it is thus evident that one of the key focus areas must be transport infrastructure.
South Africa’s National Development Plan (National Planning Commission, 2011) requires that “The
state will oversee a transport system that takes into consideration the realities of transport in South
Africa and thrives to serve the interests of society.” This includes, amongst others, “A systematic
approach to transport, which puts focus on the total transport network, will improve transport efficiency
and accessibility while reducing the overall environmental, social and economic cost” (National
Planning Commission, 2011) and places considerable emphasis on improving road infrastructure. The
White Paper on National Transport Policy (Department of Transport, 1996) emphasizes the need for
appropriate transport infrastructure in its vision statement: “Provide safe, reliable, effective, efficient,
and fully integrated transport operations and infrastructure which will best meet the needs of freight
and passenger customers at improving levels of service and cost in a fashion which supports government
strategies for economic and social development whilst being environmentally and economically
sustainable". Considerable emphasis is therefore placed on the development of appropriate transport
infrastructure in South Africa, however at present, it is estimated that approximately 30% of
Johannesburg’s roads (Joburg.org, 2013) and 33% of footpaths (Joburg.org, 2015) are in poor or very
poor condition, implying that considerable scope exists for increasing mobility in the city.
The purpose of this article is to establish user perspectives on transport infrastructure in Johannesburg,
a city of approximately 4.4 million residents (Statistics South Africa, 2012). This paper is an exploratory
study of the user’s perspective of transportation infrastructure in the city. A two phased approach was
followed in this project. A literature review was conducted to identify typical transport infrastructure
issues, firstly, in urban areas; secondly, in urban areas in developing countries and, finally, in
Johannesburg in particular. Based on this, University of Johannesburg students worked in groups to
develop survey instruments that would most adequately capture opinions on the most pressing
infrastructure issues within the city. These questionnaires were used as the basis for a comprehensive
survey instrument, which was then tested within a focus group and adjusted to ensure
comprehensiveness, robustness as well as user friendliness. A three-page self-administered survey was
conducted in 2014 amongst Johannesburg residents from representing five main regions in
Johannesburg, i.e. north, south, east, west and central. This survey instrument finally consisted of 71
questions testing aspects in six key areas, i.e. demographic information, familiarity with the
responsibility for infrastructure in the city, the perceived state of road infrastructure, the perceived state
of non-motorized transport infrastructure, the perceived state of public transport facilities in the city as
well as the transport infrastructure priorities. The data was primarily requested using closed-ended
questions, with respondents being asked to agree or disagree with statements regarding infrastructure
using a five-point Likert-type scale. The response format was anchored from (1) Stronglydisagree to
(5) Strongly agree, with a sixth category “Do not know”. For questions where respondents were asked
to rate the state of infrastructure and 11-point Likert-type scale was used anchored from (0) Completely
unacceptable to (10) World class. One open ended question was used to test what respondents believed
should be the single most important improvement to transport facilities in their area. A total of 709
usable responses were obtained. Data was analysed using IBM SPSS 23.
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3. Research Results
The demographic profile indicated that the majority of respondents (63%) were between the ages of 18
and 35 years of age, reflecting a young profile. Other demographic information that was tested was
ethnicity, place of residence within Johannesburg and primary mode of travel. The latter reflected that
respondents primarily used private motor vehicles, followed by minibus-taxis (the primary form of
“public” transport in South Africa), combinations, buses, trains, walking and other. The demographic
information indicated that the age, ethnicity and travel mode profiles approximated that of South
African residents in general (Statistics South Africa, 2012; Statistics South Africa, 2013).
Respondents indicated firstly that they believed that there was a focus on highways rather than local
streets, with the former being in a far better condition than the latter. Although respondents were equally
divided as to whether roads were well maintained in their local areas, the majority of respondents (over
55%) indicated that there were potholes in their local areas, which most (52%) indicated did not get
fixed timeously. Over 70% indicated that, where there were potholes, these were not marked, although
when actual maintenance was done, warning signs were put into place. Road markings in general, were
considered average, although in a later question, this was indicated as one of the key areas requiring
future intervention in the city. Speed humps were indicated as not being adequately marked. Traffic
lights were considered to be usually in working condition although, when not working, they were not
considered to be fixed timeously. Respondents were divided on whether roads were adequately drained.
Residents generally (47%) showed an appreciation for the newest investments in highways around the
city, but were however fundamentally opposed (76%) to using e-Tolls as a method of financing these
improvements. Respondents were relatively neutral about having seen any improvements in the last
year, as well as being neutral about the short term prospect for road infrastructure improvements. In
general, the residents indicated that they believed the state of the roads and the state of the traffic lights
to significantly impact the accident rate and most respondents were neutral or negative when asked
whether they believed the city was doing enough to keep the roads well maintained.
Regarding public transport facilities, respondents were overwhelmingly negative regarding all aspects
of taxi-related infrastructure, indicating that they believed taxi ranks (terminals) were not user friendly,
were badly lit, not clean, unsafe, unattractive and did not cater for people with disabilities. Respondents
were neutral regarding whether there had been any improvement in the last five years. Regarding the
other next most used form of public transport, buses, respondents were more neutral regarding all
aspects outlined above. It is however noted that few (5%) respondents used buses as their main form of
public transport and the neutrality could potentially reflect a lack of familiarity with public bus services.
This was however mitigated against by providing a “don’t know” category. A level of familiarity with
bus services was therefore assumed.
Respondents were asked to rate the state of infrastructure in a number of areas believed to be important
in the City of Johannesburg. The results are reflected in Figure 1. The results show that in general,
respondents believe that highways are in an acceptable condition. Respondents tended to be more
neutral about the state of road signs and traffic lights. The same is true for bus stations, although bus
stops are not acceptable. The figure also indicates that parking, sidewalks and local roads are not in a
state considered to be acceptable by Johannesburg residents. Cycling lanes were not considered to be
in an adequate state, although the low rating may reflect the lack of facilities rather than the condition
of facilities. Finally, respondents clearly indicated their dissatisfaction with the state of taxi facilities in
310
the city, thereby reflecting earlier results regarding the cleanliness, user-friendliness and safety of taxi
facilities.
Figure 13: Mean ratings of state of transport infrastructure in Johannesburg (Source: Developed
for the purposes of the study)
Respondents were asked to indicate what they believed should be the highest priority issues in transport
infrastructure in the city. Although respondents clearly indicated dissatisfaction with the state of taxi
facilities, this was not the highest priority issue. These results are shown in Table 1. The table indicates
that, although taxi ranks are the 4th highest priority issue for Johannesburg residents, the state of the
roads tend to be a much higher concern. Although respondents were also relatively neutral regarding
the condition of traffic lights, this was also shown to be a major priority issue. Improving road markings
was also important. Adding extra lanes to busy roads, although not necessarily a solution, provides an
indication of frustration with congestion levels.
Finally, respondents were asked, in an open ended question, the one area where they would like to see
an improvement to transport infrastructure. These results largely mirror the results shown in Table 1,
with fixing of potholes/roads being the single greatest cited requirement. This was followed by adding
extra lanes/widening roads, improving public transport and related facilities, improving taxi ranks and
improving pedestrian infrastructure. Traffic lights, road markings and lighting were also major
concerns.
Table 1: Highest passenger transport infrastructure issues in Johannesburg

Highest priority issue % of respondents
Fixing potholes 62.20
Ensure traffic lights work 35.68
Adding extra lanes to busy roads 33.57
Better taxi ranks 15.09
Better road markings 14.53
More working street lights 9.45
Better sidewalks 8.60
Better and more road signs 8.32
Better bus stops and stations 6.63
Dedicated bicycle lanes 6.35
More speed cameras 5.92
Source: Developed for the purposes of the study
311
4. Conclusion
Appropriate transport infrastructure is critical to the effective functioning of cities. Inadequate transport
infrastructure can inhibit mobility and accessibility within a city, but can also impact productivity and
costs. In South Africa, in terms of the White Paper on National Transport Policy (1996), the public
sector is obliged to provide transport infrastructure that is safe, reliable, effective, efficient, and fully
integrated, that best meet the needs of passengers and is environmentally and economically sustainable.
User perspectives on the state of current state of transport infrastructure provision are important, as they
provide indications of failure of policy implementation and areas for focus for the public sectors future
efforts and investments.
Respondents indicated firstly, that they were generally dissatisfied with the state of the roads, in
particular potholes and the rate at which problems with road infrastructure were addressed. Although
road markings and traffic lights were generally not regarded as major problems in general, when asked
to indicate their highest priority issues or the areas in which they felt efforts should be focused, these
were considered major areas requiring investment.
Taxi facilities were also considered to be a key priority issue with a large percentage of respondents
indicating that they would like to see more investment in this areas. As this is the second highest used
mode in the country, after private vehicles, and one which often receives bad press, this result is
expected.
Bus facilities received relatively neutral ratings regarding the state of infrastructure, however when
asked to identify single most important issues, the third highest mentioned issue was that there should
be more formal public transport services and facilities, indicating that, although facilities are regarded
as neutral (acceptable), they are insufficient to meet the requirements of the respondents.
Adding extra lanes to busy roads is frequently cited as a high priority issue. Although this may not
necessarily be a feasible solution to transport problems in the city, it does provide an indication of the
frustration experienced with congestion, thereby supporting the finding that there is insufficient formal
public transport in Johannesburg.
The National Household Travel Survey (2013) indicates that over 20% of South African workers walk
to work. The need to plan infrastructure for pedestrians is clearly indicated in the open ended question
on highest priority, where improving pedestrian infrastructure was the fifth most cited issue.
These results show that although policy clearly describes the ideal state of infrastructure in the country,
Johannesburg users indicate that infrastructure is not necessarily experienced as safe, reliable, effective,
efficient or integrated. Key focus areas for public sector investment in Johannesburg needs to be the
maintenance of roads and related infrastructure (traffic lights, road markings and lighting, upgrading of
taxi facilities, improvement of pedestrian infrastructure and the expansion of the formal public transport
service offering.
312
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314
DII-2017-60
Early Retirement of Construction Workers in South

Africa: Case of Occupation Permanent Disability
Justus N. Agumba¹, Innocent Musonda²
Abstract
The purpose of this study is to determine the types of accidents that lead to permanent disability of
construction workers resulting in early retirement. The data was obtained from Federated Employer
Mutual Assurance (FEM). The types of accidents were analysed from the decade of data from 2007 to
2016. The data were analysed using descriptive and inferential statistics. The analysis established that
7 670 accidents were experienced in the construction industry from 2007 to 2016, of which the major
cause of accidents in the construction industry in South Africa was being struck by e.g. object while
working. Furthermore, the highest average cost of accident was when a construction worker was
electrocuted, the average cost was R214 767.00. The most fatal accidents was caused by motor vehicles.
The study further established that there is a 10% chance of a construction worker to be permanently
disabled and take early retirement or permanently disabled without taking early retirement when
involved in any type of accident while at work. In conclusion construction workers using any work
related vehicle, either being transported to site or using the vehicle on site, caution should be adhered
to in order to prevent fatalities. The government of South Africa should ensure that strict measures are
taken for drivers who do not observe the traffic rules on site and on the public roads. This will ensure
the prevention of permanent disability among the construction workers in South Africa. It is also
imperative for construction workers to receive training on health and safety when they work on any
construction project. This needs to be emphasised daily on site by the construction health and safety
practitioners. The authors recommend a further study on the type of injury and ill-health associated with
the type of accident that force the construction worker to retire early.
Keyword: accidents, construction industry, pension, permanent disability31
1. Introduction
Construction industry is hazardous and dangerous. The hazard and dangerous conditions of the industry
are experienced when workers manually handle heavy materials, and are exposed to malfunctioning
and vibrating equipment. Furthermore, noise and dust pollution of the work environment and chemicals,
exacerbates the dangerous and hazardous conditions on construction site, which might lead to accidents
1Department of Construction Management and Quantity Surveying, Durban University of Technology, Steve Biko Campus,
Durban, South Africa, [email protected], Tel No. +27 31 373 2466
²Department of Construction Management and Quantity Surveying, University of Johannesburg corner Siemert and Beit
Streets, Doornfontein, 2028, Johannesburg, South Africa, [email protected], Tel No. +27 11 5596655
315
and ill health of the workers. Robroek, Schuring, Croezen, Stattin, and Burdorf, (2013) argued that the
work environment is important, as physical and psychosocial demands in certain industries can make it
hard for workers to work with chronic diseases and ill-health. To buttress this observation, Brenner and
Ahern (2000), found that over 677 000 working days were lost due to sickness absence, which were
related to workers being absent from work as a result of work related injuries and sickness. Furthermore,
they established that over 24 000 potential years of quality working lives were lost due to early
retirement on health grounds.
The Health and Safety Executive (HSE, 2016) reported that in 2015, there were 43 fatal injuries among
construction workers in Britain. The rate of fatal injury was 1.94 per 100,000 workers, compared to a
five-year average of 2.04. In Hong Kong, the construction industry recorded 3 723 industrial accidents
in 2015, 7.4 per cent up compared to 3 467 in 2014. Over the same period, the accident rate per 1 000
workers decreased by 6.5 per cent from 41.9 to 39.1. The construction industry recorded the highest
number of fatalities and accident rate among all industry sectors in Hong Kong (Labour Department,
2016). The Bureau of Labor Statistics (BLS, 2016) in the US recorded 226 incidents based on
construction transportation, 17 incidents of fires and explosion, 364 falls, trips and slips, 138 cases of
workers exposed to harmful substances or environment and 159 cases, of workers being in contact with
objects and equipment. It can be argued that these incidents have cost implication to the economy.
Waehrer, Dong, Miller, Haile, and Men, (2007), established that the total cost of fatal and non-fatal
injuries in the construction industry in the US was estimated at $11.5 billion in 2002, a
disproportionately high 15% of the costs for all industries. The average cost per case of fatal or non-
fatal injury was $27,000 in construction, almost double the per-case cost of $15,000 for all industries
in 2002. In spite of the high economic cost of fatal and non-fatal workplace injuries, there is dearth of
research in the type of accident that is prevalent to permanent disability of construction workers, which
will push the construction workers to receive pension, therefore leading to early retirement.
It is imperative to prevent work disability pension because of the human and societal costs. Prevention
of early retirement as a result of disability is important, because the number of construction workers at
risk for early retirement on health grounds is likely to rise in the near future as a result of the ageing
population and work force (de Zwart, Frings-Dresen, and van Duivenbooden 1999). A study conducted
by Brenner and Ahern (2000) established that the mean annual rate of early retirement of construction
workers in Ireland on health grounds was 5.3/1000 workers.
Disability pension is an important means to leave working life into early retirement. In a European study
of 4923 older persons, physical and psychosocial demands led to an increased exit from paid
employment due to work disability (Robroek, Schuring, Croezen, Stattin, and Burdorf, 2013). Brenner
and Ahern (2000) found that in the construction industry in Ireland, cardiovascular disease and
musculoskeletal disorders each accounted for nearly one third of the conditions leading to permanent
disability on the grounds of which early retirement was granted. Boschman, van der Molen, Sluiter and
Frings-Dresen, (2012) indicated that a high prevalence of musculoskeletal disorders (MSD) among
construction workers in two different construction-related occupations, bricklayers and supervisors was
evident in Netherlands. Chau et al., (2004) also established that the causes of occupational injuries
depended on the type of work, and that preventive measures against injuries from moving objects must
be taken, more especially for masons, plumbers and electricians. Preventive measures against injuries
from construction machinery and devices should be taken for carpenters, roofers, and civil-engineering
316
workers. In Poland Szubert, and Sobala, (2005) suggested that the risk factors for early retirement were
the conditions of work i.e. the piecework system, heavy lifting at work, shortage of leisure time,
disability, increased rate of sickness absence, and alcohol abuse. A study in Sweden by Falkstedt, et al.,
(2014), found that women had higher rate of disability pension than men, regardless of diagnosis,
whereas men had a steeper increase in disability pension with decrease in educational level. Claessen,
Arndt, Drath, and Brenner, (2009), established that moderate overweight among construction workers
is not associated with occupational disability. But obesity increases the risk of work disability due to
osteoarthritis and cardiovascular disease.
Järvholm, Stattin, Robroek, Janlert, Karlsson, and Burdorf, (2014), indicated that the work environment
was a predictor for disability pension among construction workers with those in physically heavy jobs
having the highest burden of disability. They found that risk varied considerably among blue-collar
workers. For example, rock workers had double the risk of disability pension compared to electricians.
However, Arndt (2005) found that the general work force appear to experience a higher risk of disability
than the blue collar workers in general. Furthermore, most working years lost due to disability pensions
were found among men over 50 years, mainly as a result of musculoskeletal and cardiovascular diseases.
Arndt, (2005), affirms the sentiment of Järvholm et al., (2014). Furthermore, it is important to note that,
Arndt (2005), calls for further efforts to sustain the health of construction workers in there working life.
Based on this discussion and a dearth of research in South Africa on early retirement as a result of
permanent disability in the construction industry, this study seeks to fill this gap. In order to fill this gap
a number of specific research questions have been stated.
• What type of accident is the major cause of permanent disability of construction workers in South
Africa?
• What are the major causes of fatality of construction workers in South Africa?
• What is the probability of an accident leading a construction worker to permanent disability and
early retirement or permanent disability without early retirement?
These questions are reviewed in a bid to answer them.
1.1 Type of accidents
According to Agumba and Haupt, (2014) they established that, the frequently experienced accident and
injury among small and medium construction workers was, workers being cut while working, struck by
falling object and workers falling from height. The injury mostly experienced were wounds. Hinze and
McGlothlin (2002) reported that slips, trips and falls accounted for 15% to 20% of all workers’
compensation cases; with older workers having higher percentage of falls compared to younger
workers.
The collapse of tower cranes leads to accidents. When there is failure of any part of the crane or the
load carry systems they can cause serious accidents, with both crane operators, site personnel and
general public (Skinner, Watson, Dunklry, and Blackmore, 2006). Occupational Safety and Health
Administration (2005) posited that significant and serious injuries of fatality may occur if cranes are
not inspected before use and if they are not used properly. Often, these injuries occur when a worker is
struck by an overhead load or caught within the crane’s swing radius. It therefore implies that, crane
accidents are associated with erection or assembling, usage, dismantling and supervision or inspection
and are major treat to life of workers on any building site.
317
Mitra, Cameron, and Gabble (2007) reported that ladder falls or accidents increased significantly in
2001-2005 in Australia, which gave a significant rise in serious injury from ladder falls. This was
evident in their investigation of 4553 site workers presented to Victorian Hospital with injuries from
ladder fall. Of these, 160 patients were classified as major trauma case. A fall from height, more than
one metre, was the most common mechanism of injury accounting for 59% of the total. It was also
established that about 20% of ladder-related falls greater that one metre and major trauma cases
occurred while people are working on site. It can further be stated that, despite the knowledge of the
dangers of falls from ladders, there has been a significant increase in the number of casualties from
ladder falls which resulted into broken limb, fracture and bruises on building sites.
In order to overcome some of the causes of injuries and illness among construction workers Chau et al.,
(2004), suggested that training of young workers when using hand-tools was necessary. Furthermore,
the occupational physician could encourage overweight workers to reduce their weight, the workers
with hearing disorders or sleep disorders to consult a specialist to solve their problems, and all the
workers to practise regularly sporting activities, as they could prevent injuries due to the handling and
carrying of objects (Chau et al., 2004).
1.2 Disability and Disability pension
A disability, unlike an impairment, represents the socioeconomic loss that an individual sustains as a
result of an injury, illness, or condition. If a worker is injured and as a result cannot return to work, the
disability is deemed a very serious one. However, another worker, with precisely the same injury and
the same degree of impairment, may be able to return to work quickly with little or no impact on his or
her earnings. The injury to that worker would have resulted in a much lower degree of disability (Barth,
2003/2004). Therefore, a permanent impairment need not, but is likely to, result in disability, and the
same degree of impairment can result in a vastly different degree of disability for different individuals
(Barth, 2003/2004).
Disability pension is a social security benefit given to working age people who have limitations in their
working capacity due to occupation disability obtained from accidents or diseases. In Sweden for
example the Social Insurance Office records all cases regarding disability pension. In the past ten years
in Sweden, the annual inflow in the program has decreased mainly due to tightened eligibility rules
(Järvholm et al., 2014).
1.3 Temporary disability
Temporary disability is when a worker is unable to work or cannot do all the work because of an injury
or disease, however it is expected that the person will get better. In this case workers can claim for
compensation. However, the worker should be put off duty by a medical practitioner for more than three
days. The worker is compensated for the duration of time that he or she was unable to work including
the first three days (Western Cape Government, 2014, Compensation for Occupational Injuries and
Diseases Act, (COIDA, 1997). Barth, (2003/2004) indicated that in the USA, states pay permanent
partial disability benefits to workers because they suffer an impairment, a disability, or some
combination of the two. Each state’s approach to compensating permanent partial disabilities differs,
but for convenience the states can use an approach based on impairment, loss of earning capacity, loss
of wages, or one that combines features of the other approaches.
318
In South Africa if a worker is not able to work because of temporary disability, the worker get paid 75%
(three-quarters) of the normal monthly or weekly wage. If the worker can only do some of the work,
the work will still get paid by your employer. The compensation fund will pay the worker 75% (three-
quarters) of the difference between what you got paid and what you would have been paid before the
injury. All medical expenses are also paid if the medical accounts are submitted to the Commissioner
(Western Cape Government, 2014, COIDA, 1997). A worker can claim compensation for temporary
disability for one year. This can be extended to two years, there after the Commissioner may decide that
the condition is permanent and grant compensation on the basis of permanent disability (Western Cape
Government, 2014).
A review by Mitra, (2009) on temporary and partial disability benefit programs in, Australia, Germany,
Great Britain, Japan, the Netherlands, Norway, South Africa, Sweden and the US, posited that in several
countries, a focus on time-limited benefits and the design of specific programs for young adults are
important recent developments. Time-limited benefits appear to offer some potential in terms of
improved return to work and reduced program costs.
1.4 Permanent disability
In South Africa according to the Amended Compensation for Occupational Injuries and Diseases Act,
(COIDA, 1997), permanent disability is an injury or illness that the worker will never recover from, for
example, loss of hands, an eye etc. The seriousness of the disability determines whether you will never
be able to work again or whether the work will be more difficult to undertake (Western Cape
Government, 2014). Disabilities are rated from 100% to 1% depending on the seriousness. For example,
a 100% would be the loss of both your hands or the loss of your sight. The loss of one small toe is a 1%
disability as indicated in the Amended Compensation for Occupational Injuries and Diseases Act,
(1997). However, it is imperative that a doctor write a medical report in relation to the disability. The
Commissioner and various other doctors will then decide how serious the disability is (Western Cape
Government, 2014). Barth, (2003/2004) concurs with the importance of the disability evaluation of the
worker by a medical professional. However the assessment should also take some account of the
person’s occupation and employment history, education and training, and probably other demographic
and labour market variables (Barth, 2003/2004).
If the disability is more than 30% disability, the worker get paid a monthly pension. The amount of
pension depends on what your salary was and on the seriousness of the disability. If you have a 100%
disability the worker get paid 75% (three-quarters) of the wages. If the disability is less serious, the
Commissioner calculates the monthly payment. If the disability is less than a 30% disability, the worker
is paid a lump sum. The lump sum payment is a once-off payment. However, the monthly payment will
be paid for the rest of the worker's life (Western Cape Government, 2014, COIDA, 1997).
1.5 Death or fatal
In south Africa according to the Amended Compensation for Occupational Injuries and Diseases Act,
(COIDA, 1997), if the family member that earns money to support the family (breadwinner) was killed
due to an occupational injury or disease, the family can claim from the compensation fund. The amount
of compensation that the family members will be paid depends on your relationship to the person who
died. The total amount paid to the family cannot be more than the pension the dead worker would have
319
received. The worker's spouse and children under the age of 18 (including illegitimate, adopted and
step-children) are entitled for the compensation.
2. Research methodology
The study consisted of a literature review and an analysis of secondary data sourced from Federated
Employer’s Mutual Assurance Company (FEM). This is the only private workman’s compensation
insurer registered by the Department of Labour to cater for construction workers accidents. The data
presented was on the types of accidents collected during the period 2007 to 2016. This data was
comprehensive for analysis and is represented in Table 1. It can be indicated that this information is a
record of the actual data recorded by FEM. Hence, the information is reliable and indicative of a high
degree of ecological validity (Gill and Johnson, 2010). Due to the nature of the study, ethical approval
for the study was not necessary given that no particular party would be harmed by the disclosure of the
findings of the study. No data would be traceable to a particular construction enterprise or its personnel.
The data was represented using descriptive and inferential statistics, that is, percentages and disjoint
and independent probability respectively. Disjoint probability was used to determine if an accident led
a construction worker to be permanently disabled, taking early retirement or construction worker was
permanently disabled without taking early retirement. On the other hand independent probability was
computed to determine if a construction worker was permanently disabled, with early retirement and
construction worker was disabled without taking early retirement.
The data in Table 1, shows that the construction industry is dangerous and hazardous based on the 7
670 accidents that have been experienced from 2007 to 2016. This result is supported by the data
obtained from the, Bureau of Labour Statistics in the US in 2017 and from Labour Department (2016)
in Hong Kong. These accident still occur despite the promulgation of the construction regulation in
health and safety in 2014. Further, the major type of accident that was experienced in the last decade in
the South African construction industry was, workers being struck by e.g. an object. In that period a
total of 2585 cases were reported out of 7 670 cases. On average in ten years this result translates to
approximately 258.5 cases per year. Hence in the US, the BLS (2016) reported that 159 workers were
in contact with equipment and objects in 2015. The US report, however did not support the study in
South Africa. It can be suggested that more construction workers were injured in South Africa compared
to the US per year.
The data in Table 1, further indicates that the major type of accident that engender construction workers
to be permanently disabled, was workers being struck by e.g. an object while at work. Of the 806
permanent disablement of construction workers reported in this period, being struck by e.g., an object,
contributed 263 cases. Of which two workers were forced to take early retirement as a result of the
permanent disability, whereas 261 workers did not take early retirement or receive their pension.
Furthermore, the type of accident that caused fatality among the construction workers in South Africa
was motor vehicle accidents. Of the 67 fatal accidents experienced in this period nearly half i.e. 33 of
the fatalities were caused by motor vehicle accidents. The Bureau of Labor Statistics (2016) in the US
recorded 226 incidents based on construction transportation. However, the report did not suggest if the
incidents were fatal or non-fatal. Furthermore, HSE (2016) in Britain indicated that the industry
320
experienced 43 fatal incidents. The HSE report as the case with the BLS (2016) did not separate the
type of accident that caused the fatality. However, to buttress the statistics in South Africa, Occupational
Safety and Health Administration (2005) posited that significant and serious injuries of fatality may
occur if cranes are not inspected before use and if they are not used properly.
Table 1 further, indicates that permanent disabilities not resulting in pension were 796, this suggests
that construction workers could have lost an eye, a leg etc., as indicated in Table 1, whereas permanent
disabilities resulting in pension were 10. The type of accident that led construction workers to take early
retirement was motor vehicle accident, followed by struck by an object. In order for the construction
worker to be accorded early retirement they could have lost total eyesight, being totally paralysed, etc.
The results in Table 1 connotes that the ratio of construction workers taking early retirement as a result
of an accident was 1 out of 767 accidents taking place. Whereas the ratio of an accident not driving a
construction worker to early retirement but the construction worker being permanently disabled was 1
out of 9.64 accidents. However, it is interesting to note that statistically analysing the probability of
either a worker being permanently disabled and receiving early retirement or permanently disabled
without receiving early retirement, using disjoint probability was 0.10 or 10% chance of the occurrence
of these situation.
Table 1: Accident data 2007-2016

Cause Number Accidents Fatal Lost Permanent Permanent Average Ranking
of percentage accidents days disabilities disabilities cost per using
accidents not resulting in accident number of
resulting in pension (Rand ZAR) accidents
pension
Struck by 2585 33.70 9 8572 261 2 19397 1
Striking against 1130 14.73 0 3189 136 0 11971 2
Slip or over- 1007 13.13 1 3298 40 1 18941 3
exertion
Fall on to different 899 11.72 4 7540 107 1 36566 4
levels
Motor vehicle 833 10.86 33 4541 79 4 66424 5
accident
Caught in, on, 535 6.98 4 3150 89 1 26206 6
between
Fall on to same 270 3.52 0 1543 25 0 22453 7
level
Accident type (Not 139 1.81 6 363 10 1 43010 8
Elsewhere
Classified (N.E.C))
e.g.
Contact with 117 1.53 4 300 34 0 35973 9
extreme
temperature
Inhalation 105 1.37 1 195 1 0 16190 10
absorption,
ingestion
Contact with 48 0.68 5 937 14 0 214767 11
electric current
Awaiting 1 0.01 0 0 0 0 26096 12
information
Unclassified not 1 0.01 0 8 0 0 18614 13
sufficient Data
Total 7670 100 67 33636 796 10 42816
Source: FEM data 2017
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The lost days that could have generated economic gains to the construction industry and South Africa
was 33 636 days. This could be translated to approximately 92.15 years. The study of Brenner and
Ahern (2000) supports the current study in South Africa. They found that 677 000 working days were
lost due to sickness absence related to workers’ occupational injuries and illness. Furthermore, they
found that over 24 000 potential years of working lives were lost due to early retirement on health
grounds. In regard to these statistics, it is imperative that the construction industry stakeholders in South
Africa should emphasize the importance of construction Health and safety in their projects.
It is important to note that the number of accidents associated with electrocution were 48 compared to
2585 of accidents associated with struck by e.g. an object etc. The result of data suggested that the total
average cost per type of accident was R42 816.00 from 2007 to 2016. However, on average the cost of
accident associated with electrocution or being in contact with electricity was the highest at R214
767.00. It can be inferred that on average the cost of electrocution was 11 times higher, compared to
the cost of being struck by an object despite the fact that being struck by an object occurred
approximately 54 times more than a worker being in contact with electricity.
In conclusion, the major type of accident in the construction industry in South Africa in the last decade
i.e. from 2007 – 2016 was, workers being struck by e.g. an object while working. Furthermore, being
struck by e.g. an object was a major type of accident that led construction workers to be permanently
disabled. The study further indicated that there is a 10% chance of construction workers to be
permanently disabled and take early retirement or permanently disabled without taking early retirement
when involved in an accident while at work. It is therefore recommended that construction workers
receive training on health and safety when they work in any project. They should be trained on how to
identify hazardous objects. This need to be emphasized on a daily basis on site by the construction
health and safety officer, as a result of the number of accidents that have been reported in the last decade
by FEM. This will ensure that the workers entrench a health and safety culture in all the construction
activities they will be doing and hence avert accidents.
In relation to fatality occurrence, motor vehicle accident was the major cause. Furthermore, construction
employees who were involved in motor vehicle accidents were likely to go for early retirement as a
result of the accident. It can be stated that when construction workers are using any work related
vehicle, either being transported to site or using the vehicle on site, caution should be adhered to in
order to prevent accidents. The government of South Africa should ensure that strict measures are taken
for drivers who do not observe the traffic rules on site and on the public roads. The vehicle should be
roadworthy and be driven by a competent driver. This will ensure the prevention of permanent disability
and pre-mature retirement, among the construction workers in South Africa as a result of motor vehicle
accidents.
Recommendation for future study is to evaluate the type of injuries and diseases that is occupational
among construction workers that, lead to permanent disability but not early retirement and the type of
permanent disabilities that lead construction employees to early retirement.
322
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DII-2017-062
Developing Africa’s Future City Engineers
Nadine Ibrahim1, Chibulu Luo2, Murray Metcalfe3
Abstract
Acknowledging the challenges of urbanisation, globalisation and resource constraints, this paper
presents a positive perspective that highlights elements of the potential for development and prosperity
in Africa, and particularly for engineering education that ensures that graduates are qualified and
equipped to build the future African cities. Engineering education has already begun this
transformation in developing local engineering talent in Africa with efforts both on building sound
infrastructure and furthering urban sustainability. This paper proposes a future-oriented perspective in
re-imagining engineering education for sustainable cities in Africa by identifying essential attributes of
Africa’s future city engineers in the context of their education, and the skills of Africa’s future engineers
in professional practice. This study is informed by emerging literature on the opportunities for higher
education in Africa, and our interviews with a wide range of universities in Africa, ranging from large
public universities with established engineering schools to start-up private universities with alternative
learning models, including the integration of online learning capabilities to early developers and users
of open courseware in Africa. Some of the examples from across higher education institutions and
universities in Africa that were included in this research were summarised to demonstrate innovative
strategies that are already in development and in some cases in place. Though engineering education
as we know it today, in brick and mortar universities, may not be sufficient, leveraging online
capabilities in delivering learning will shape engineering education in the future, with Africa possessing
the unique advantage of leapfrogging to advanced technologies.
Keywords: African universities, education, Engineering, online learning, sustainable cities
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1. Introduction
The last 100 years witnessed urban populations increase globally from 25% of world population to
greater than 50% urbanization. With populations forecasted to boom in Sub-Saharan Africa (SSA), the
region is expected to urbanize from less than 30% to more than 70% over the next 75 years (Hoornweg
and Pope, 2017; Hoornweg et al., 2014). Multiple research efforts have documented the challenges
facing Africa related to the need for new urban infrastructure to support growing populations (e.g.
Lwasa, 2012), and the shortage of local engineers to address this growth. From a positive perspective,
1Lecturer and Post-Doctoral Fellow, Civil Engineering, University of Toronto, 35 St. George Street, Toronto, ON, Canada,
[email protected]
2PhD Candidate, Civil Engineering, University of Toronto, 35 St. George Street, Toronto, ON, Canada,
[email protected]
3Professor, Globalization, Faculty of Applied Science & Engineering, University of Toronto, 35 St. George Street, Toronto,
ON, Canada, [email protected]
325
emerging literature highlights some of the potential for development and prosperity in Africa, and for
engineering education that ensures that graduates are qualified and equipped to build the future African
cities. As one leader puts it,
“Higher education is now front and center of the development debate—and with good reason.
More than 50 percent of the population of sub-Saharan Africa is younger than 25 years of age,
and every year for the next decade, we expect 11 million youth to enter the job market. This so-
called demographic dividend offers a tremendous opportunity for Africa to build a valuable
base of human capital that will serve as the engine for the economic transformation of our
continent… To be more competitive, expand trade, and remove barriers to enter new markets,
Africa must expand knowledge and expertise in science and technology. From increased
agricultural productivity to higher energy production, from more efficient and broadly
available ICT services to better employability around the extractive industries, building human
capital in science and technology is critical to empower Africa to take advantage of its
strengths. By MakhtarDiop, World Bank’s Vice President for the Africa Region, High-level
Forum on Higher Education, Science, and Technology in Africa, March 13, 2014, in Kigali
(Blom, Lan and Adil, 2016).
In this paper while recognising Africa’s challenges and context we look at the possibilities for
developing Africa’s future engineers who will build sustainable cities through evidence gathered via
interviews with various stakeholders across a number of higher education institutions in the region.
The research team has interacted with wide range of universities in Africa who have expressed interest
in our approach to strengthen their engineering programs for designing and building sustainable African
cities. The range of these institutions includes:
 Large public universities with established engineering schools: Addis Ababa University/Addis
Ababa Institute of Technology (Ethiopia), Makerere University (Uganda), University of Lagos
(Nigeria), University of Nairobi (Kenya), Kenyatta University (Kenya), University of Rwanda,
Kwame Nkrumah University of Science and Technology - KNUST (Ghana), University of
Johannesburg (South Africa), and University of Zambia.
 South African universities with strong capabilities in cities engineering, planning and social
studies: University of Cape Town, Stellenbosch University, Durban University of Technology, and
Central University of Technology.
 Start-up private universities, with philanthropic funding sources and online learning
capabilities: African Leadership University (Mauritius), Kepler (Rwanda), and Ashesi (Ghana).
 Early developers and users of open courseware in Africa: African Virtual University (Pan-
African)
Against this backdrop, this paper takes a future-oriented perspective and identifies the skills required of
African engineering leaders, both in education and in practice, to build Africa’s future cities that will
accommodate growing populations, and proposes ideas to migrate from the status quo.
2. Beyond the Challenges of Engineering Education and Practice
Well-managed cities can be hubs for innovation and economic growth, and can realize what UN-Habitat
terms the “agglomeration advantage”, driving more productive and economically diverse environments
(UN-Habitat, 2012). However across much of Africa, rapid urbanization has not been accompanied by
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economic density, partly due to urban planning approaches that do not bring agglomeration benefits to
urban areas (World Bank, 2017). Existing city planning approaches rely on comprehensive master
plans, largely envisioned by foreign companies or international donors (Watson, 2013). These visions
are generally “top-down” in nature, perpetuate Western ideologies, and may fall short of addressing the
unique regional challenges or realities on the ground (Watson and Agbola, 2013). Undoubtedly these
foreign models have been widely critiqued by researchers (Watson, 2013; Watson and Agbola, 2013),
who raise the question to whether they offer long-term solutions in addressing urban infrastructure
needs, or worsen the inequalities that already beset African cities.
Local training and capacity building is commonly identified as a solution to addressing the urban
planning problem (World Bank, 2017); however, the role of formal education systems in influencing
more sustainable pathways has received less attention (Lwasa, 2012). To help fill this gap, this project
aims to assist in the transformation of the delivery of engineering education in the region. Current
engineering graduates fundamentally lack the tools to understand the complex dynamics of the urban
environments they face. While the technical subject matter taught in traditional engineering
programmes are important, new graduates remain ill-equipped to tackle the infrastructure-related
challenges within their cities. In this respect, African universities will have a growing responsibility to
develop the next generation of urban planners and sustainable city innovators.
On a positive note, some countries are addressing the issue by integrating formal planning programmes
within their curriculum. For example, the University of Cape Town’s African Center for Cities has
developed the Association of African Planning Schools (AAPS) that is supporting member universities
in the region to enhance their curricula as well as their research and teaching capacity (More information
on the AAPS can be found here: http://www.africanplanningschools.org.za/). There is potential to scale-
up such initiatives; and in particular, develop new learning models for engineering education using
relevant technological tools. For example, using online platforms can be used to deliver
interdisciplinary courses that integrate sustainable development and public policy concepts with
infrastructure planning and design (e.g. a Small Private Online Course (SPOC) that our team is
developing). At the same time, new pedagogical methods and more integrated curriculum can
strengthen understanding of complex urban interactions - for example, the interactions between
engineered infrastructures and social and natural systems, as these dynamics can ultimately shape
sustainability outcomes pertaining to resource management, environmental pollution, climate change,
and public health (Ramaswami et al. 2012). Finally, identifying specific regional or city contexts will
support the development of local engineering talent, equipped with the knowledge to identify local
planning needs, problems and solutions.
3. Envisioning Africa’s Future Engineering Leaders for Sustainable

Cities
As engineering leadership in universities and educational institutions and associations are exploring the
process of developing the engineers of the future, we have attempted to contribute to this line of thought,
specifically from an African perspective. There is a substantial recent body of literature on engineering
leadership in general, including work by colleagues at the Institute for Leadership Education in
Engineering (iLEAD) at the University of Toronto. Engineering educators around the world recently
assembled at the Canadian Engineering Education Association conference in Toronto, Canada (CEEA
2017) to generate strategies to build a shared foundation for equipping the “Engineer of 2050” to meet
the grand challenges of the data age. In the context of the African continent, African engineers confront
the additional challenge prompted by rapid urban population growth, yet have the unique opportunity
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of leapfrogging to cleaner and more efficient technologies for urban prosperity, both of which have
implications for the engineering education and practice communities. Other thought leaders have
devised new initiatives such as the “global engineering leader” as the outcome of the framework used
as the basis of the development of the Global Engineering Leadership (GEL) Minor at the Georgia
Institute of Technology and informed by the National Academy of Engineering’s Vision for the
Engineer of 2020 advanced in the early 2000s (Amekduzi 2016). Similarly, the “whole new engineer”
visualized by Goldberg and Somerville (2015) proposes a revolution in engineering education that
shapes educational experiences that are aligned with the creative imperative of the 21st Century.
At the same time, partnerships among academic institutions, policy-makers and industry can ensure
sustainable urban outcomes. Also, project collaboration with local governments can allow students to
acquire experiential knowledge by working with communities and policymakers (Lwasa, 2012).
Africa’s future engineers will show success when they follow a two-pronged approach to urbanization,
firstly, understanding and aligning innovation initiatives with government priorities, and secondly,
supporting global efforts towards urban sustainability.
a) Aligning urban innovation with government priorities
The fact that most of Africa’s urban areas are yet to be fully built and serviced with engineered
infrastructure presents a window of opportunity to avoid lock-in to unsustainable pathways. Investments
in engineered infrastructure will have huge implications for development outcomes in the future (World
Bank, 2016). For example, Nairobi's blueprint policy document for urban development, “Nairobi Metro
2030”, envisions a “world class African region that is able to create sustainable wealth and offer high
quality of life for its residents”(More information on “Nairobi Metro 2030” can be found here:
https://fonnap.files.wordpress.com/2011/09/metro2030-strategy.pdf). The document further
emphasizes strategies through infrastructure development, urban financing and stakeholder
partnerships. In this regard, engineering education and the locus of innovation will benefit through
alignment with these strategies to ensure that graduates equipped with the skills to address priorities at
both the national and city level.
b) Supporting global efforts towards urban sustainability
The concept “sustainable urban development” has also gained popularity in global development and
policy efforts. These efforts have highlighted the synergies between sustainable urban development and
other global challenges, particularly mitigating and adapting to climate change. For example, the
successful negotiation of the Paris Agreement on climate change, under the United Nations Framework
Convention on Climate Change’s (UNFCCC) 21st Conference of the Parties, signalled a new area in
climate action, and also highlighted the critical role of cities, which are described as “factories of climate
change solutions” (WRI, 2015). Also, integrated climate mitigation and adaptation actions are relevant
to reducing urban risks and economic development gains. This has been highlighted in the Sendai
Framework for Disaster Risk Reduction (UNISDR, 2015). Consistent with this storyline, the new
Sustainable Development Goal for cities (SDG 11) aims to make “make cities and human settlements
inclusive, safe, resilient and sustainable”. Similarly, the outcome document from the Third United
Nation’s Conference on Housing and Sustainable Urban Development (Habitat III) recognised
“environmentally sustainable and resilient urban development” as one of the three transformative
commitments for a “New Urban Agenda” (United Nations, 2016). Undoubtedly, meeting the ambitious
targets set under these processes requires for scaled-up engineering education and training.
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The next two sections below re-imagine attributes of Africa’s future engineers in the context of their
education, and the skills of Africa’s future engineers in professional practice.
3.1 Attributes of “Africa’s future city engineers” in education
The skills of future engineers that will be educated to become employable in building Africa’s
sustainable cities of the future might be a long list if each African city is considered independently. To
remain contextually relevant and culturally diverse such skill sets will derive from the higher education
landscape and the institutional framework under which engineering schools and accreditation bodies
and regulators work. However, intersecting skills that need to be embedded in the Africa’s engineering
schools include the following list of top considerations:
1. Prepare for the unpredictable and equip students with the skills to meet it. The future years will
entail working within climate uncertainties, which despite the scenarios proposed by organisations such
as the IPCC, still remain unpredictable. Engineering curricula that is multi-disciplinary, and builds in
sustainability, critical thinking, and communication across the disciplines will be essential to the growth
of engineers that can work together across teams and across specializations to tackle global challenges
that are more pronounced in Africa.
2. Embrace systems thinking and complexity theories. The urban built environments include the
building blocks that make up cities and include buildings, transportation, water, waste, wastewater and
food networks, among others. A systems approach to these building blocks in engineering curricula
where students learn about green building design, sustainable transportation, integrated water and
wastewater management, etc. will create synergies among the built components of urban environments.
3. Address grand challenges by thinking in missions, not disciplines. Steering away from the
traditional siloes of engineering disciplines, and creating engineering programs that address grand
challenges, e.g. poverty, urbanization, food shortage, public health, will give students a better sense of
purpose and better chances of employability.
4. Adapt to a curriculum that meets the needs of the country and connects with industry. The needs
of cities (and countries) reflect the political visions for economic growth and urban prosperity, and more
often than not, reflect the Sustainable Development Goals (and the Millennium Development Goals
previously). Curricula that are cognizant of such country visions for the future produce graduates that
are useful to their countries, and have acquired knowledge that is up-to-date with the state of the art,
and relevant to industry.
5. Learn based on graduate attributes that pertain to competencies for the future. Weaving in skills
in engineering curricula that emphasize desirable graduate attributes is a way of ensuring that graduates
possess the attributes expected of them to continually improve the programs. Inspired by the graduate
attributes of the Canadian Engineering Accreditation Board (now known as Engineering Canada
Accreditation Board), examples of such graduate attributes include problem analysis, investigation,
design, use of engineering tools, individual and teamwork, communication skills, professionalism,
impact of engineering on society and the environment, ethics and equity, economics and project
management, and lifelong learning.
6. Leverage online education. Delivering engineering education to students in brick-and-mortar

universities pose a challenge for growing populations, online education presents a solution to educate
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larger numbers that can tap into global knowledge. As online education is scalable and accessible,
female students in engineering will access engineering education that they may not have had otherwise.
3.2 Skills of “Africa’s future city engineers” in practice
The characteristics of Africa’s future engineers in the workforce will be a result of the higher education
system and practical experience throughout the curriculum. Engaging industry and developing local
engineering talent will be fundamental to employability. The interaction between universities and
industry will have direct bearing on the quality of engineering graduates, while the interaction of the
engineering education to align with country priorities will result in employable engineering graduates
that have the competencies to contribute to building their future sustainable cities. The characteristics
of Africa’s future engineers in practice are numerous – the following identifies key characteristics:
1. Work in multi-disciplinary teams. Engineers that are competent technically need to also be good
communicators who can connect with architects, planners, public policy makers, and decision-makers.
Engineers will play a large role in public policy to create sustainable solutions.
2. Well versed in economic and social implications of large infrastructure projects. Many great ideas
have fallen short of having the economic and social backing to make them a reality. Building Africa’s
megacities will involve large infrastructure projects that, when built, cannot be easily erased to start
over. Decisions for large infrastructure projects will need to be integrated in the cities’ long-term
economic and social agendas. This will be the result of a broad-based and comprehensive engineering
education.
3. Hands-on and practical. The engineers of the future will not only be involved in understanding
theory, but will be able to contribute to design and practice via a thorough understanding of problem
solving and investigation.
4. Leapfrog to best practices and locking-in sustainable development. Best practices from the east
and west may not necessarily be the most relevant practices to the African cities’ context, and as such
the engineers will have the talents and tools to devise their own best practices and strategies to create
and lock-in sustainable development.
5. Connect to research and development.The impact of engineering on society and the environment
will be supported by research that goes beyond current practice and is conducive to propelling
development. Attracting engineering graduates to pursue graduate education and involving industry
partners to finance research, in addition to encouraging a collaborative industry and academic
environments are some of the ways that research can aid development.
6. Built in lifelong learning. Innovations in practice require advancements in knowledge and

professional skills, where engineers can recognise they are in a continuous cycle in pursuit of
knowledge.
4. Engineering Education Re-imagined
Education at large is being reimagined, and engineering education in particular – through very
traditional and conservative in approach – has already begun this transformation in developing local
330
engineering talent in Africa. Pan-African examples from higher education institutions and universities
that were among those reviewed in this research to date are summarized below to demonstrate success
factors already taking place.
African Virtual University (AVU): With an online presence only (and office headquarters in Nairobi,
Kenya and Dakar, Senegal) and operational in Anglophone, Francophone and Lusophone, the AVU
offers online courses across 18 countries in Africa. Though not focussed specifically on STEM-related
courses, the potential for scalability and access of this model is great in reaching a large number of
students.
University of Nairobi: The oldest and largest public university in Nairobi, Kenya is a great example
of academic and industry collaborations where African scholars hold positions in the local accreditation
body and collaborate with industry by way of finding “practical attachments” (i.e. internship
opportunities) for their engineering students. A strong leadership role of the Open and Distance
Learning Centre that works across faculties enables and facilitates online education in various capacities
for the instructors and students alike.
Makerere University: A large university in Kampala, Uganda with a long history of engineering
education is a good example of the practical side of engineering education that goes beyond theory.
The virtual labs in the Computer and Electrical Engineering department offers students practical
experience, and allows for smaller universities (Busitema University and Mbarara University of Science
and Technology) in the country, in addition to the University of Rwanda, to have access to their “ilabs.”
Kepler University: A small start up university in Kigali, Rwanda offers an American Bachelor of Arts
through a close partnership with Southern New Hampshire University’s innovative College for America
program. The institution pairs digital content with a team of expert teachers while proving to be an
attractive learning model for students. Applications for admissions show a large percentage of
applicants with an interest in a STEM-related education, though Kepler has not tapped into STEM-
related programs.
University of Rwanda: As the country transitions from French to English, and as six of the local
institutions (including the Kigali Institute of Science and Technology – KIST) become amalgamated in
what is now known as the University of Rwanda, the transition is a way to combine resources and
infrastructure and allow students access to all institutions under one umbrella.
Carnegie Mellon, Rwanda Campus: Carnegie Mellon University (CMU), a world leader in
engineering education and research, extended its global reach into Africa in 2012 when it opened the
CMU Information and Communication Technology (ICT) Center of Excellence (CoE) in Kigali,
Rwanda, in a partnership with the Government of Rwanda. This is an example of bringing world
renowned institutions in engineering education and research to Africa and offering students the
opportunity to develop real-world ICT solutions with international companies like IBM, Microsoft and
Visa.
University of Zambia (UNZA): Zambia’s largest and oldest university, and leader in interdisciplinary
and policy-oriented research. For example, UNZA’s Centre for Urban Research and Planning (CURP)
is an interdisciplinary research initiative on the dynamics of Zambia’s urbanization and spatial planning.
The Centre conducts policy relevant research on sustainable urban planning in Zambia’s cities, towns
331
and regions. In advancing this agenda, the Centre has development a number of research partnerships
with local communities and governments institutions, including community-led “planning studios” that
allow students to engage with local communities living in informal settlements or slums. Overall, the
project is influencing policy changes, and has also proven useful in shifting the mindset of industry and
government on issues of urban informality, service delivery and poverty (Siame and Muvombo, 2016).
5. Conclusions
The unique opportunity that presents itself in Africa in the face of expanding populations and growing
infrastructure demands lies simultaneously in the education for and practice of engineering. Though
engineering education as we know it today, in brick and mortar universities in Africa, will not be
sufficient, we take a future-oriented perspective of leveraging online capabilities in delivering learning,
which we believe will shape engineering education in the future. Migrating from the status quo is not
far-fetched, and as such, this paper proposes ideas to influence Africa’s future city engineers by
identifying essential attributes in education and skills in the workplace. We set out to explore what it
takes to develop Africa’s future city engineers, and used our network of higher education institutions in
Africa, in addition to research on reimagining engineering education from like-minded researchers and
academics, to inform our paper.
Acknowledgement
Our study “Engineering Education for Sustainable Cities in Africa (EESC-A)” received financial
support from the Dean’s Strategic Fund and the Connaught Global Challenge Awards at the University
of Toronto. The authors greatly appreciate the information provided by the academic staff and faculty
at the African institutions visited and interviewed in 2016.
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Cervigni, R., Liden, R. Neumann, J. E., and Strzepek, K. M. (2015) Enhancing the Climate Resilience
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Changing Planet. Washington, Worldwatch Institute, Island Press, pp. 267-277.
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334
DII-2017-037
The Significance of Workers’ Involvement in Cultivating a

Safety Culture in Zambia’s Electricity Industry
Mwewa Mambwe1, Erastus Mwanaumo2
Abstract
Several studies have shown that the link between workers’ participation has left a gap in the importance
of workers’ involvement in the management of organisational safety culture of the electricity industry
in Zambia. Shaping culture through change in attitude cannot be enforced by management alone but by
involving workers as well. The aim of the study was to examine the importance of involving workers
to influence safety culture in the electricity industry of Zambia. The paper also identifies barriers to
workers’ involvement in safety and health management. The approach for the research was both
quantitative and descriptive. The empirical study was a survey using a questionnaire from targeted
population of technicians, engineers, elected safety representatives, supervisors and maintenance
managers. The convenience sampling method was applied when identifying participants. Statistical
analysis was performed using Microsoft Excel. Descriptive statistics was used in compiling results.
Semi-structured interviews were also carried out to convolute on the findings amongst union leaders
and senior managers. The study yielded positive perceptions and attitudes about involving workers.
Workers were found to be responsible in terms of safety for themselves and others and also showed
some knowledge about safety procedures in the organisations. The study also found that training,
incentive and acknowledgement, improved communication and reporting procedures. In addition, the
study identified barriers hindering full involvement including training, reward and recognition,
communication, and management participation and motivation. The importance of the study is that it
will help managers understand the relevance of involving workers in improving safety culture in the
electricity industry.
Keywords: electricity industry, safety culture, workers, Zambia

33
1. Introduction
There has been significant improvement in the safety performance of the electricity industry even
though research in the global electricity safety and competency standards reveals that the industry has
still not cracked safety (ASSE, 2011). Additionally, electrical accidents are considered to be erratic in
most studies and based on statistics, however majority of them are unreported (Mihai & Sorin, 2010).
Nonetheless, the electrical energy sector undergoes accidents and incidents that can be disastrous and a
cost to the industry (Mihai & Sorin, 2010). The electricity industry in Zambia considers safety at a high
level even if accidents continue to happen. Rutter (2010), nonetheless, postulates that the measures to
escalate electrical safety are not effective enough without considering the electricity firms safety
cultural aspects. Therefore, to ensure a safe working environment, it is vital for the electricity industry
1Department
of Civil and Environmental Engineering, The University of Zambia, Lusaka, Zambia, Box 30037, +26078256277
2Departmentof Civil and Environmental Engineering, The University of Zambia, Lusaka, Zambia, Box 30037,
+260969561353, Email: [email protected]
335
to remain at the centre of activities carried out in the perseverance of safety efforts by involving workers
in safety and health implementation. Failure to involving workers in influencing safety culture in the
electricity industry of Zambia is a missing link to positive and continuous improvement in safety and
health management. This study was conducted to add to the existing body of knowledge on the issue of
involving workers and the impact it would have once adopted in the electricity industry to sustain
positive safety culture.
1.1 The influence of workers’ involvement in safety culture
Several studies have shown that there is a link that lies between employee involvement and
organisational effectiveness, efficiency and safety performance according to studies undertaken by
Raines (2011) and Higbee(2008). Very few studies have been attempted to examine the link between
the participation of workers and the inclusive safety culture of the electricity industry in Zambia.
Additionally, a study undertaken by Gennard and Judge (2005)indicated that management can generate
cultural variations in an establishment by involving workers as practical mean. Raines (2011) informed
that the effort of workers involvement and influence among workplace peers can have a positive change
on attitude.
1.2 Workers’ involvement in the electricity industry
Everyday operations in the electricity industry exposes workers to various risk causing accidents that
could be misjudged (ZESCO Limited, 2015). Hence, increased levels of worker engagement in safety
activities increases the safety performance as can be seen by the outcome of the actions taken when
faced with an incident. According to Wachter and Yario(2014) workers influence over safety
management system practices programs and safe work processes by enthusiastically enabling safety
approaches and conducts, they are more likely to adopt the value of working safely and encouraging
others to do so. Therefore, workers’ influence and involvement on safety practices have a strong positive
impact on safety culture in the organisation as workers collectively stick to the success of safety
programs (Rutter, 2010). Hence, it is imperative to understand the impact of involving workers in
influencing safety culture in the implementation of safety and health in the electricity industry (Zou &
Sunindijo, 2015). Nonetheless, fatalities continue to occur in the electricity industry regardless of
processes and policies guiding the operations of this entity. This can be seen in the 2015 Auditor
General’s Report (2015), which specified that the electricity industry being the seventh to record 6.9%
of fatalities compared with other sectors such as the mining topping at 14.7% followed by the Personal
Service and hotels which recorded 13.4% of fatalities in that year as indicated in the table.
The information provided in Table 1 does not however indicate that electrical accidents are low enough
to be ignored. As long as they keep occurring even though some of them are not reported implies that
it is important to involve workers in influencing the safety performance in the electricity industry.
Furthermore, several research in the electricity industry on safety and competency standards have
revealed that safety has not yet been cracked (ASSE, 2011). From this statement, it can be said that one
of the ways to crack the safety component is underpinning workers’ involvement in enhancing safety
culture in the electricity industry.
336
Table 1: Number of fatalities among industries
Industry 2011 2012 2013 2014 Totals % Totals

Agriculture Forestry, etc. 4 15 14 18 51 13.6
Building Construction 5 18 11 18 52 13.9
Electricity 5 5 7 11 28 11.2
Iron, Steel Industries, etc. 3 6 8 13 30 8
Mining, Quarry Industries 13 10 10 26 59 15.7
Personnel Services, etc. 8 11 15 20 54 14.4
Transport and Communication 4 0 14 11 29 7.7
Total 42 65 79 117 303
Source: Report from the Auditor General on the Management of Occupational Safety and Health (2015)
2. Safety Culture in the Electricity Industry

Safety culture lies in the heart of effective management of all risks related to the electricity industry
such as major accidents and hazards (Olusuyi, 2011) and is understood to be a major pointer to safety
performance. Hence most companies have started programs of they can use to improving organisational
safety culture to reduce costs and increase performance (Haukelid, 2008). According to Guldenmund
(2007), safety culture are aspects of the organisational culture that have eventual impact on attitudes
and behavior and values to increase or decrease safety risks. Subsequently, some of the incidents that
occur in the electricity industry show that the most of them could have been deterred or reduced through
appropriate safe working behaviors by workers as insinuated by Hopkins (2006). Accumulation of
errors, questionable decisions, and misguided priorities in management where productivity is placed
ahead of safety, results in accidents. Nonetheless, causes of most accidents are accredited to human
error and as suggested by many scholars in this knowledge area, 85%- 98% of most injuries that occur
at workplaces are caused by unsafe attitudes (Williamsen, 2007). Workers’ unsafe acts have been
postulated to be the cause of about 88% of industrial accidents and that organisational failures are the
underlying factors in individual action oriented errors (Carrillo, 2010). Yule (2003) in one such study
indicates that safety culture in an organisation is described in terms of workers perceptions by applying
six factors that include personal need for safety, management commitment, blame attitude, rewards and
appreciation of risk, control of conflict and supportive environment.
2.1 Workers’ involvement and participation
Involvement of workers is an important means by which management can achieve organisational safety
cultural change. However, such kind of changes are only attained incrementally after a period of time
as it is not possible to change the attitude of individuals at the same time (Gennard & Judge, 2005). To
add on, the effects of workers involvement as can be seen by Gifford et al (2005) include enhanced
organisational performance, improved employee commitment to changes needed for organisational
development and its survival. Workers challenged with hazards and risks have a better understanding
on how to improve these risks once this knowledge is exploited. It is opinionated by Raines (2011) that
safety changes be made by involving the workers and embracing their input to improve safety
performance. The purpose of the study therefore, was to establish the impact that the involvement of
workers in influencing safety culture in the management of safety and health in the electricity industry.
The problem is that the Zambian electricity industry in managing safety and health focuses only on
regulations, policies and processes and does not involve workers in influencing the safety cultural
challenges that impact the provisions of the safety and health management system in the industry.
337
The study adopted a mixed method approach which combined quantitative and qualitative methodology
aimed at assessing the impact of worker involvement in influencing safety culture in Zambia’s
electricity industry. This means that that the procedures could be used at the same time or one after the
other in the terms of a single research according to Saunders et al. (2009). The study was inclined to
technicians, engineers, elected safety representatives, supervisors, and maintenance managers from
electricity companies in Zambia, who were administered with questionnaires. In order to further
authenticate and ornate the issues that came from the questionnaire survey responses, semi-structured
interviews were conducted on trade union leaders and senior managers. The reason for choosing this
group of people was because they were capable of answering the questions raised, thus accentuating the
rationale of the variegated method approach.
The sample used was purposive since participants were chosen strategically based on the roles within
the industry and relevance to the study. According to Davies (2007), purposive sampling helps the
researcher identify and target individuals that will be typical candidates of the population under review.
Distributed questionnaires were in total of 250 that were completed, a total of 148 usable responses
were received of which 25 were either incomplete or spoiled. The remaining 77 questionnaires were
not recovered or answered. The 148 responses account for 59.2% response rate. The qualitative method
was adopted to follow up on the common themes emanating from the questionnaire response.
Table 2: Demographic Distribution of Questionnaire Respondents
Government Company Private Company Total

Maintenance Managers 7 2 9
Supervisors 13 6 19
Elected Safety Representatives 19 10 29
Engineers 23 10 31
Technicians 35 23 58
Totals 97 51 148
The semi structured interviews were necessitated by the need to elaborate on the themes that came about
from the questionnaire surveys. Two senior managers from a named government owned company and
two union representatives were interviewees. The initial proposal of five interviews with extra senior
managers was not possible due to unavailability.
4. Results
Themes were created to answer the research questions derived from the research objectives, and these
include: practical involvement of workers, relevant factors to successful workers’ involvement, other
methods of involving workers in safety and health management. Various responses gave a wider range
of responses in which all the workers have a role to play. About 20% of the respondents are elected
safety representatives. The number of experience in the electricity industry was also asked of which the
average years of experience was 12 years even though there were more who worked less.
338
Distribution of Roles for Questionnaire Respondents
Maintenance Managers
7% Supervisors
13%
36%
Elected Safety Representatives
20%
Engineers
24%
Technicians
Figure 14: Distribution of Roles for Questionnaire Respondents
4.1 Practical involvement of workers
Respondents’ opinion on the practicality of how much workers got involved in the safety and health
management was divided into sub-themes. 90% of the respondents felt that there were reputable means
of communication from the shop floor to management. About 50% indicated that that there were
relevant training sessions that were useful to workers and management, while 71% agreed that they
received the needed training and response about their performance. Over 70% of the respondents were
found to be involved in making safety related decisions and participate in the safety improvements
programs.
Practical Involvement of Workers
100%
50%
0%
Training and Participation and Reputable means Frequency of
Response Involvement of training sessions
communication
Strongly disagree Disagree Neutral Agree Strongly agree
Figure 15: Practical involvement of workers
4.2 Success factors to workers’ involvement in safety and health management
Figure 3 indicates the responses to the prevalence of success of employee involvement practices within
their work environment. The results showed that 69% felt that the safety suggestions were readily acted
upon by management, while 84% of the respondents agreed that the safety trainings being given are
effective. Similarly, 78% felt that the approach in safe working are established to follow consultative
meetings with the workforce and 58% thought that management and workers works together to tackle
safety related issues. 100% agreed that they take responsibility for their safety including the safety of
people around them and for 68% of the respondents, felt that the reporting channels of unsafe acts were
fair and without fear.
339
Success Factors to Workers Involvement in Safety and Health Management
Work relationship
Easability of Reporting Channels
Responsibility by Workers
Transparent Safety Meetings
Consultative Meetings with the Workforce
Training
Reaction to Suggestions by Management
0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%
Strongly Agree Agree Neutral Disagree Strongly Disagree
Figure 16: Success Factors to Workers Involvement in Safety and Health Management
4.3 Other methods of involving workers in safety and health management
Respondents were asked to comment on other factors relevant to the success of employee involvement
initiatives beside those presented in Figure 3, the various responses clustered into seven classifications
and presented in the table below in order of decreasing frequency.
Table 3: Other Methods of Involving Workers in Safety and Health Management
Category Percentage Frequency

Participation of Management and Motivation 19%
Safety Culture 18%
Recognition and Incentive 17%
Transparent Communication 15%
Understanding and Visibility of Workers Involvement 10%
Participation of Workers and Buy-in/Ownership of 9%
Training on Safety and Health 7%
Others 5%
4.4 Barriers Preventing Workers from being Involved in Safety and Health
Management
Over 66% of the respondents disagreed that their supervisors did not do enough to ensure a safe working
environment. Additionally, only 50% differed that there is low level of confidence amongst
management and frontline staff, while 81% disagreed that safety trainings are too expensive and so
should not be done too often. Finally, 87% disagreed that certain procedures on safety and health do
not need to be monitored in order to work in a safe environment. This indicates that barriers are
predominant at low level and the least likely barrier was the cost of training.
4.5 Influence of trade unions and senior managers’ recognition on workers

involvement in the management of safety and health
The parameters that were set for this notion was based on acknowledgement, recognition, and
understanding of the roles and influence of workers. The study found that over 50% of respondents
disagreed that trade unions and senior managers are sufficiently recognised in the industry. Only 47%
of the respondents indicated that the role of trade unions and senior managers are well understood in
driving safety and health issues efficiently. Additionally, 57% of the respondents indicated that union
leaders and the senior managers rarely showed expected levels of influence in the organisation.
340
5. Discussion
Communication according to Olusuyi(2011) was identified as a key feature of an organisation with
positive safety culture in this study. It also indicated that over half of the respondents agreed that there
are well established means of communication through the safety toolbox, green area meetings, bulletins,
teleconferencing facilities, morning briefs and presentations. In terms of information received, evidence
indicates that workers receive information but the quality and quantity of information needed further
improvement. Marcella and Pirie (2011) revealed in their study that the flow of information was poor.
This indicates that there is need to improve on information sharing and reduce information overload
between management and workers in order to reduce confusion and loss of interest. The effectiveness
of training was highlighted by Gifford et al (2005) as a process of workers involvement in safety and
health management in the electricity industry. In this study, training of workers on safety and health
related issues has come out to be very essential in that, if it is not applied, it can lead to barriers toward
workers’ involvement.
The findings of the study confirmed that integrating information, incentives, knowledge and power is
essential for the workers to make the right decisions. Participation of management was cited as an
indicator of management commitment relevant in promoting safety as a core value in the industry as
was postulated by AICHE (2010). It can then be deduced that management involvement, reassurance
and obligation reiterated y the findings of this work are key component in influencing workers in safety
culture. It was also mentioned in the semi structured interviews that trade unions were not considered
to be influential in safety and health management. Even though a few agreed that the unions and senior
management recognition has an inferred influence, only about half support the fact that recognition of
trade unions had any influence on involvement of workers. This is attributed to the lack of visibility of
trade union role in liaison with senior management in workers’ involvement efforts and the absence of
such roles.
The overarching aim of the research was to determine the workers’ involvement in influencing safety
culture in the Zambian electricity industry. The results further revealed that although the industry is not
completely in the dark with the issue of worker participation, there is room for improvements. Worth
mentioning are workers taking more responsibility and ownership, employee participation in safety
meetings, management involvement and motivation, communication, positive safety culture, ease of
reporting as well as openness and honesty, can be achieved through communication. Affiliation
concerning worker involvement and the safety culture of an organisation can be described as a
mutualistic.
Nonetheless, the barriers to participation of workers in safety and health management have been
highlighted by the study and the majority cited management participation and actions, fear of negative
comeback, weak safety culture, inadequate training and low level of trust.
The study recommends a reward scheme to inspire better participation and involvement devoid of
encumbering reporting such as award giving. Mechanisms have to be put in place to warrant that
workers are rewarded in such a way that they remain motivated and dedicated. It is recommended that
management show active involvement and not plain consultation with the workforce. It is recommended
that consideration be given to aggregate safety trainings.
341
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DII-2017-040
A Conceptual Model for Pricing Health and Safety on

Construction Projects
Edzua Jirel Akawi1, Innocent Musonda2, Nazeem Ansary3
Abstract
The competitive nature of the construction industry (CI) has marginalised health and safety (H&S) on
construction projects. Most clients in the CI, if not all, award projects based on price and in most cases
to the “cheapest bidder” and not the “safer bidder”. Consequently, such practices have compelled
contractors to lower their bid price to increase their chances of being awarded projects, whereas in
contrast, H&S is marginalised. The study, which was a case study of nine projects of which six were
civil engineering projects and three building construction projects, was purposed to conceptualise a
model for pricing H&S on construction projects. The findings showed that contractors do price for H&S
using an itemised breakdown even though such items are not included as a trade in the Bill of Quantities
(BOQs). With regards to expenditure, the actual costs of H&S ranged between 2.9% and 3.98% for
projects with a value below R500 million and between 4.08% and 4.90% for projects with a value
above R500 million. Health and safety costs were found to be directly proportional to the projects value
and indirectly influenced by the client. Previous studies recommended that H&S should be priced as an
itemised trade in the BOQs, but such recommendations are yet to be implemented. The lack of a
conceptual model for pricing H&S on construction makes accurate and adequate monitoring of H&S
costs unlikely. Thus, a standardised pricing model will assist contractors to price adequately for H&S,
and clients, to ensure that provision for H&S measures on construction projects is adequate as required
by the Construction Regulations (CR) 2014.
Keywords: conceptual model, construction projects, cost drivers, health and safety, pricing
34
1. Introduction
Poor H&S performance is one of the major problems faced by the CI in South Africa and many other
countries worldwide. The number of accidents recorded and the costs implications are still high. In the
United Kingdom, the Health and Safety Executive (HSE) reported that in 2013/14, injuries and new
cases of ill-health in workers largely from working conditions cost society an estimated £14.3 billion;
£9.4 billion from illness and £4.9 billion from injuries (HSE, 2015). In South Africa, a report by the
Construction Industry Development Board (CIDB, 2009) recorded that the total cost of accidents direct
and indirect amount to R3.5 billion per year which equated to two (2) percent of the project expenditure.
1Master’s Student, Faculty of Engineering & Built Environment, University of Johannesburg, South Africa, P.O. Box 524,
Auckland Park 2006, [email protected]
2Senior Lecturer, Faculty of Engineering & Built Environment, University of Johannesburg, South Africa, P.O. Box 524,
Auckland Park 2006, [email protected]

3Head of Department, Department of Construction Management & Quantity Surveying, University of Johannesburg, South
Africa, P.O. Box 524, Auckland Park 2006, [email protected]
344
The International Labour Organisation (ILO) reported that 337 million occupational accidents occur
worldwide on a yearly basis and as a result, 2 million and 310 thousand people deceased and 160 million
people get injured. The financial loss caused by occupational accident is estimated at 1.2 trillion USD.
Occupational accidents cause important financial losses in the workplace (Yilmaz and Çelebi, 2015).
According to Rikardsson (2005), these costs can be reduced if accidents can be prevented.
2.1. Pricing for health and safety on construction projects
As Motchar and Arditi (2001) stated, the CI is characterised by extreme competitiveness, with high
risks and generally low profit margins when compared to other areas of the economy. The competitive
nature of the CI hinders H&S performance (Cole, 2003). Sumner and Farrell (2003) remark that such
competition has often forced contractors to look for cost savings during the construction phase and such
practice leads to H&S being compromised.
As Sumner and Farrell (2003) put it, inadequate and poor H&S do not only affect other project
parameters, namely: cost, quality and schedule negatively, but the sustainability of the environment as
well. According to Smallwood (1999), the CI is perceived by many to be price driven. Projects are
awarded on the lowest tendered price and not enough consideration is given to other factors such as
contractors’ H&S management proposals, ability to achieve the required quality standards or complete
the contract within the required timescale. Elsewhere, López-Alonzo et al. (2013) argue that making
adequate provisions for H&S on construction projects could yield benefits to both companies and
societies as a whole.
In South Africa, The CR (2014) addresses in detail the role of clients with regard to H&S. The client is
required to, inter alia; prepare a suitable, sufficiently documented and site specific H&S specifications;
include H&S specifications in the tender documents (CR, 2014; regulation (f)) and ensure that
contractors submitting tenders have made adequate provision for the cost of H&S (Regulation (g); CR,
2014). Based on the above, the scotching question we ask is: how can the client ensure that the
contractor has made adequate allowance for H&S measure on the construction project if a standard
pricing tool to measure such output is non-existent?
In South Africa, it is common practice to include H&S costs as a line item in the Preliminaries and
General (P&Gs) section of BOQ and not as an itemised trade showing a breakdown of H&S costs even
though studies by the CIDB (2009), Smallwood and Emuze (2014) and Sumner and Farrell (2009)
recommended that H&S costs should be itemised in the BOQ; be laid out using a structured approach
and be priced in a special section in the BOQ respectively. It is to note that these recommendations are
yet to be implemented in the CI.
The motivation for the study is embedded in the fact that conceptualizing a model for pricing H&S on
construction projects will not only assist contractors to make adequate provision for H&S on
construction projects or client to ensure that the contractor has made adequate allowance for H&S on
said projects but to manage and report on the H&S costs on the said projects. The lack of such pricing
model makes the accurate, adequate budgeting and controlling of H&S costs unlikely.
345
2.2. Drivers of health and safety costs on construction projects
As Bokor (2010) defines it, cost drivers are factors which have a cause-effect relationship with costs.
These are any factors which cause a change in the costs of work performed in an organisation or in a
process. A contextual application of the above definition to the current study, “H&S cost drivers” can
be defined as “factors or elements” that have an impact on the costs of H&S on a given project
computed as a sum of all items quantified and costed in accordance to the H&S requirements of the
project as outlined in the H&S specifications. These factors or elements can be affected by various
inputs inter alia: quantity factor (i.e.: number of personnel or equipments required), applicable rates
(i.e.: fee scales, labour rates), project duration, etc. As presented in Table 1, 18 elements, referred in the
study as “cost drivers” were identified from literature.
Table 1: H&S cost drivers identified from literature

Item No. Cost Drivers Literature
1 PPEs HSA (2010)
2 H&S Personnel CR (2014); Smallwood and Emuze (2014)
3 Safety Equipments (SEs) Smallwood (1999);Sawasha et al. (1999)
4 H&S induction and training Hinze and Gambatese (2003)
5 H&S Inspections CR (2014)
6 H&S Audits CR (2014); Alli (2008)
7 H&S Incentives Musonda and Pretorius (2015)
8 H&S Meetings Bizzell (2008:29);CR (2014)
9 Accident investigations and reporting Kartam et al. (2000:177)
10 H&S Medicals CR (2014:18); HSA (2010)
11 H&S Signage Sadus and Griffiths (2004)
12 H&S Campaigns CIDB (2009)
13 First Aid Wells and Hawkins (2009)
14 H&S Promotions Hymel et al. (2011)
15 H&S Branding Musonda and Haupt (2011)
16 Security features Farinyole et al. (2013)
17 Emergency Preparedness Wells and Hawkins (2009)
18 Insurance costs Babu and Kanchana (2014); COID Act (1993)
3. The Study
The study was a case study of nine projects of which six were civil engineering projects and three
building projects which were conducted in two different organisations. A literature review was
conducted to identify the various cost elements herein referred to as cost drivers. The empirical data
were collected through both interviews (Kothari, 2004) and documents analysis (Bowen, 2009).
Interviews were purposed to conduct an in-depth investigation on the importance attributed to H&S at
both projects and organisations level, evaluate clients’ compliance with regards to regulations 5(f) and
(g) of the CR 2014 specifically and assess how H&S is priced on construction projects. The five
participants that were interviewed, out of which four were H&S Managers and an H&S executive were
employed in the 5 large construction companies in South Africa respectively. Their work experience
ranged between 10 and 25 years. Documents analysis was conducted to identify the H&S elements
priced for on construction projects as well as establish the actual costs of H&S on said projects.
Interviews were conducted in 5 different organisations purposely selected based on 2 criteria, namely:
H&S records and expertise. It was believed that companies that have good H&S records and have been
in the CI for long (i.e.: 5 years and above), will provide the sought information. The choice of projects
used in the case study was based on value and type. Considering the fact projects are different in nature
and have different requirements, such factors have an impact on H&S costs. With regards to value, the
study was limited to a minimum threshold of R30 million. This is justified by the fact that such projects
will have good H&S specifications as compared to those of a lesser value.
346
Data obtained were analysed using descriptive statistics, namely: frequency count (Dawson 2002),
percentage ratios (Kumar, 2011) and rankings (Saunders et al., 2009). Frequency count was used to
identify the most and least frequent H&S cost drivers found on projects (Figure 1). Percentiles were
used to quantify H&S costs to project expenditure ratios (Table 3). Rankings were used to classify
various cost drivers based on their FS in descending order.
4. Findings
4.1 Findings from documents analysis
4.1.1 Project characteristics
The project values ranged between R31 million and R687 million. In terms of duration, the shortest
project period was 10 months and the longest 27 months (See Table 2). Table 2 presents information;
namely: type of project, duration, labour content and project budget on the nine projects used for the
study. The documents analysis revealed that the actual expenses on H&S elements ranged from R900
thousand for a R30 million project and about R34 million for a 650 million project.
Table 2: Project information

Item Duration Labour Project Budget
Project Names Scope of work
No. (months) (Peak) Expenditure
1 Project A Civil (Pipeline) 18 260 R 400 000 000.00
2 Project B Civils (Pipeline) 12 120 R 195 000 000.00
3 Project C Civils (Roadworks) 12 31 R 31 500 000.00
4 Project D Civils (Pipeline) 27 600 R 630 000 000.00
5 Project E Civils (Pipeline) 21 280 R 500 000 000.00
6 Project F Civils (Pipeline) 18 450 R 687 000 000.00
7 Project G Building Works 10 375 R86 000 000.00
8 Project H Building Works 13 250 R72 000 000.00
9 Project I Building Works 24 850 R372 000 000.00
4.1.2 Expenditure ratios on projects
Table 3 presents H&S costs on the nine projects as well as percentage ratios of H&S costs to project
expenditure as used in the study. In terms of the actual expenses on H&S and the project values ratios,
it was found that the actual costs ranged between 2.39% and 4.90% (Table 3). It was also observed that
projects with a value of R500 million and above had a higher H&S expense to project value ratio. These
projects had a ratio of 4% and above. Of interest, however, is the R31 million value for project C, which
spent about 3% of its projects value on H&S provisions.
Table 3: Health and Safety Expenditure ratios
Item No. Project Names Project Budget Expenditure HSand expenditure % ratio
1 Project A R400 000 000.00 R9 553 995.79 2.39%
2 Project B R195 000 000.00 R5 203 248.74 2.67%
3 Project C R31 500 000.00 R957 454.78 3.04%
4 Project D R630 000 000.00 R25 690 909.42 4.08%
5 Project E R500 000 000.00 R20 688 493.19 4.14%
6 Project F R687 000 000.00 R33 664 777.73 4.90%
7 Project G R86 000 000.00 R2 680 986.22 3.12%
8 Project H R72 000 000.00 R2 410 426.05 3.35%
9 Project I R372 000 000.00 R14 791 563.62 3.98%
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4.1.3 Health and safety expense items
As shown in Figure 1, nine elements were found to be the most frequent on the nine projects with a
frequency score (FS) of 9. These expense factors included: H&S personnel, PPEs, safety equipments,
induction and training, incentives, medicals, signage, first aid and H&S promotions. Incidents and
investigations were ranked second with a FR of 8. Security features was ranked third with a FS of 7.
Health and safety audits were ranked fourth with a FS of 6. H&S inspection was ranked fifth with a FS
of 5. In sixth position were expenses to do with H&S meeting and attained a FS of 4. Four (4) elements
were ranked last with a FS of 3. These include; H&S campaigns, H&S branding, emergency
preparedness and insurances. Of interest, these were the elements on which expenditure was allocated
only for building construction projects, data of which was received from a building contractor. It was
surprising that such items were not spent for on civil engineering projects, but perhaps the explanation
could be that the head office as opposed to the project provided for these costs.
It is to note that it was surprising to find that H&S meetings were ranked low as compared to other
expense elements. To the contrary, literature informed us that H&S meetings can be a useful tools to
ensure close follow-ups on H&S targets and milestones set for projects Kikwasi (n.d.) and keep the
drum beat with regards to performance monitoring. It can be observed that H&S is still not considered
as a priority on construction projects, hence the low FS.
H&S Personnel
Insurance costs 10 PPEs
Emmergency Preparedness 8 Safety Equipments
6
H&S branding H&S induction and training
4
H&S campaigns 2 H&S incentives
0
H&S meetings (DSTIs, Toolbox… H&S medicals
H&S inspections H&S signage
H&S audits First aid

Security features H&S promotion
Accident invetigation & reporting
Figure 1: H&S Elements Priced for on construction Projects
The findings of the also revealed that projects with higher values had also a higher H&S expense for
the project compared to those with lesser value. H&S costs were found to be directly proportional to
the project value. Considering all elements being equal, it was observed that for projects valued below
R500 million, the H&S expenses ranged between 2.9% and 3.98% whereas on projects valued above
R500 million, the H&S expenses ranges between 4.08% and 4.90%. Thus, the higher the project value,
the higher the cost of H&S.
4.1.4 Findings from interviews
The results from interviews portrayed striking similarities between participants with regards to clients’
compliance with regulation 5(f) and (g) of the CR 2014 specifically, pricing for H&S on construction
projects and H&S specifications. All participants acknowledged that not all clients provide them with
H&S specifications on the projects. Secondly, all the participants emphasized that the specifications
348
provided by the clients are very generic and a repeat of the CR 2014 are not site or project specific as
required by the CR 2014, which leave them with no choice but to comply with the minimum H&S
requirements. Thirdly, they concurred that with the lack of a standardised pricing model, clients in the
CI cannot ensure that H&S measures is provided for adequately on construction projects .With regards
to pricing, all participants acknowledged that they are using an itemised approach in pricing for H&S
on their projects and have deceited from using percentages as such method is considered not accurate.
With the use of an itemised costing approach for H&S, better pricing and cost control can be achieved.
5. The Akawi Pricing Model
The Akawi pricing model (APM) was theorised based on the findings in literature and empirical study.
The 18 cost drivers as identified in literature (Table 1) were synthetised into a 12 elements model
referred in this study as the APM. Preambles and costs components were provided and purposed to
serve as pricing guidelines as laid out in Tables 4a and 4b.
Table 4a: The Akawi Pricing Model (Conceptual Model)

Item
Category Preambles Cost components items Units
No.
1 PPEs All PPEs to specifications. Protective footwear, protective clothing, Head count (No.)
Type, size and make to be hand protection, eyes and earing protection,
described as per head protection, fall arrest/prevention;
manufacturer’s respiratory protection, reflective wear,
specifications special PPEs.
2 Induction and All training to be project PPE ; emergency response; Head count (No.)
Training specific as required by the crane/machinery operations; refresher
CR 2014. Special training to courses; inductions; accidents investigation
be done when required. and reporting; first aid; special training
3 SHE personnel Personnel appointed for SHE/SHEQ manager; SHE officers (Site Fixed monthly
various responsibilities based); SHE reps; first aiders; supervisors remuneration
4 Medicals The type of medicals to be Entrance, periodicals and exit medicals; Head count (No.) time
undertaken by workers medical surveillance; OHP; OH; and OMP. based for consultation
should be fully described and with OHP, OH and
priced. OMP.
5 Site Security Security equipments to Fencing and site enclosure; security Item (sum); head count
features specifications. Type, size, equipment; access cards; lighting (No.); time based
shape to be described. protection; site illumination; emergency (Cost/hr)
plan and preparedness.
6 Safety Equipments SEs equipment to Fire extinguishers; firefighting equipment Item (No.); Cost/hr and
(SEs) specifications. Type, size, harnesses; cones; alarm canisters; flags; item (sum) as applicable
shape and to be described as speed bumps/humps; breathalysers;
per manufacturer’s portable ladders; scaffolding; lifelines;
specifications inspections and maintenance costs.
7 Welfare, wellbeing The items in this category Accommodation; transportation; skips for Sum (once off)
and Environmental should be described in full as hazardous waste; drip trays; food security; Cost of consumables
laid down in the H&S wheel bins; ablutions; eating area and (Monthly costs)
specifications. cooking area; cleaning equipment; Maintenance costs
disposables; storage facilities; cleaning Salary for cleaning
personnel. personnel
8 Signage H&S signage to Warning, information; directional Cost per item (No.)
specifications. Type, Shape, prohibitory signs; mandatory; emergency
size and make to be traffic control signs (i.e.: speed limits, Stops
described as per blocks, etc.) signs
manufacturer’s
specifications
9 SHE Activities in this category are SHE file; Permits approval; Police Item costed based on
Administration and time related as they are clearance; Inspection and audits; Stationary time inputs (i.e.: Cost/hr
Management linked to compliance with (i.e.: paper, files, labels, dividers, etc) which is reliant on
regulations. frequency (i.e.: once-off,
fortnight, weekly,
monthly, etc).
349
Table 4b: The Akawi Pricing Model (Conceptual Model) continued
10 Accidents Accident investigations – Direct costs (medical treatment, hospital Provisional
investigations and probabilities based on costs and indirect costs (legal costs; sum/allowance
reporting statistics investigation costs, etc)
11 Insurances Ensure project risks are Contributions for COID, Insurance Insurance premiums,
covered; risks transferred to premiums (motor vehicles, public motor vehicles insurance,
other parties liabilities); PI cover COID contribution
12 Sundries and Additional items as per H&S awards; H&S branding; incentives Fixed cost (H/O
Miscellaneous client’s specifications (i.e.: monetary, non-monetary tangible, overheads and costs);
etc.). insurance premiums
COID contributions, etc.
6. Conclusions and Recomendations
The study aimed at conceptualizing a model for pricing H&S on construction projects. In order to
achieve that, there was need to identify the costs drivers that should be considered when pricing for
H&S and how much should be allowed for. H&S cost drivers presented in the findings are regarded as
the minimum to be priced for if it all H&S performance can be assured on construction projects.
From the findings, it was evident that contractors itemised the cost of H&S on their projects even though
such breakdown is not included as a trade in the BOQs. Since each contractor has its own way of pricing
for H&S, it is evident that the lack of a standardised model for pricing H&S on construction projects
makes the adequate pricing, monitor and controlling of H&S costs unlikely.
It was also observed that the costs of H&S on projects were directly proportional to the project values.
Higher H&S specifications will have an impact on H&S cost compared to projects with lower
specifications. Since projects are driven by clients, it was also observed that clients had an indirect
impact on H&S cost on projects. An H&S minded client would have higher H&S specifications, thus
affecting H&S costs.
It is recommended that a similar study be conducted on a different population and sample size to
improve its application and generality. It is to note that the APM as presented in this study was not
validated. Recommendations for further study will be to validate the model using a Delphi study Survey
and Structural Equation Modelling (SEM).
The APM as presented in this study would be of great benefit to the CI and its stakeholders if endorsed
and implemented on construction projects. It can be argued that the implementation of the APM in the
CI will ensure that the accurate pricing and adequate monitoring and controlling of H&S costs are
achieved.
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DII-2017-004
Effectiveness of Employee Retention Plan as a Strategy for
Reducing Labour Turnover in the Zambian Construction
Industry
Danstan Bwalya Chiponde1, Chipozya Kosta Tembo, Samuel Mthembu,

Wisdom Chisefu
Abstract
Employee retention is an important component of any organisation’s success more so in the construction
industry which is labour intensive. The research focused on assessing how retention plans can be used
in order to reduce the employee turnover in the Zambian Construction Industry (ZCI). The research
adopted an exploratory research approach and a questionnaire survey was used to collect data. The
questionnaire comprised closed and open-ended questions. Data was collected from Lusaka and
Copperbelt provinces because the two provinces have the highest concentration of construction
activities in the country. Research results revealed that the most common employee retention plans
involve giving bonuses, rewards and regular salary. Factors that lead to employee turnover were found
to be organisational and job related. Major organisational related factors include poor working
conditions, poor management and poor relationship with superiors and co-worker while job related
factors include job security, poor salaries and inadequate job satisfaction. It was further established that
employee turnover affects a project’s performance negatively due to the cost and time needed to engage
a new worker. Therefore, in order to reduce employee turnover, practitioners in the ZCI must adopt
retention plans that go beyond the cash remunerations and focus on the employees’ wellbeing. This
retention plan has potential to drive appropriate project delivery.
Keywords: construction industry, employee retention, labour turnover, Zambia
35
1. Introduction
The Zambian Construction Industry (ZCI) has gone through some turbulent times has recovered from
a low contribution of GDP of 4.5% in 2000 to 29% in 2014. Statistics furthermore indicate that
employment in the construction sector increased from 140,000 in 2000 to over 188,000 in 2014 (BOZ,
2014; NCC, 2004). These statistics show how many employees go into the ZCI through the construction
companies (e.g., consultants, contractors and suppliers). NCC (2004) report also notes that lack of
qualified staff to execute works has hampered the performance of contractors. On the other hand, many
construction companies have not kept up with the changing needs of the workforce causing many
1
The Copperbelt University, School of the Built Environment, Department of Construction Economics and
Management, P.O. Box 21692, Jambo Drive, Riverside, Kitwe. +260212290855; [email protected]
353
needed skilled employees to leave. Thus, employee retention is becoming a major issue with most
employers (Chipunza and Michael 2009). Furthermore, the ILO (2014) points out that there is a trend
of high staff turnover in the ZCI. Skilled staff changes companies frequently as better paying contracts
become available, resulting in employers having difficulty finding skilled replacements. The high
turnover of skilled staff is therefore an issue facing most firms in the ZCI. Hence, the main objective of
this research is to find out factors leading to employee turnover and what construction companies in
Zambia do to retain their workforce. The study will contribute to knowledge by coming up with relevant
information which can assist construction companies in Zambia understand and reduce the problem of
labour turnover.
2. The Zambian Construction Industry and Skills Availability
Shakantu et al. (2000) pointed out that the construction sector in Zambia consists of five main sub-
sectors, namely, the design, assembly, manufacturing, supply and clientele. The ZCI deals with the
delivery and maintenance of buildings and infrastructure such as roads, railways, airports, bridges, dams
and power stations. The production process that facilitates the construction industry involves legal and
institutional relationships among clients, architects, engineers, surveyors, planners, contractors,
manufacturers and material suppliers (NCC, 2004). Since the early 1970s, construction in Zambia
experienced a noticeablyhigh drop in the volume of work in almost all areas (Muya et al. 2014). The
effect of reduced investment and workload resulted in loss of valuable experience at every level of the
industry (Turner 1995). With very little workload on the market the industry’s labourpool gradually
moved into the informal local sector. Muya et al (2014) further noted that while there has been a serious
decline of skilled workforce on one hand, there has been no sustained replacement with trained artisans.
This means that there is no focused industry effort on which the industry can base its planning for future
skill requirements. With very little effort to systematically maintain the workforce even at its present
levels, the industry is likely to see further decline in its capability to offer services that can compete
favourably in the sub-region. Muya et al (2014) suggests that during glut periods, the practice of
increasing remuneration as a response to shortages of skilled labour leads to companies head-hunting
the little workforce available on the market from each other and consequently raises the cost of
construction. The long-term option of establishing training programmes to solve labour shortages are
rarely applied (Agapiou et al. 1995). A proportion of the demand for labour can be satisfied from the
unemployed construction workers, notwithstanding the losses caused by retirements and movements to
other industries during recession. It is, however, unlikely that the construction industry’s labour needs
will be satisfied from the ranks of those out of employment alone – many no longer possess the
necessary skills. Also, numerous skilled operatives leave the industry and fail to return when work
becomes available. Such skill losses create serious problems and have a direct impact on the rate of
expansion of the industry. Realizing that there is a shortage of skilled labour in the ZCI, retaining those
employed must be one of the key considerations for any construction company.
3. Employee Turnover and Retention Plan
Employee turnover is the rotation of workers around the labour market; between firms, jobs and
occupations; and between the states of employment and unemployment (Abassi and Hollman. 2000).
The term “turnover” is defined by Price (1977) as: the ratio of the number of organisational members
who have left during the period being considered divided by the average number of people in that
organisation during the period. Each time a position is vacated, either voluntarily or involuntarily, a
new employee must be hired and trained. This replacement cycle is known as turnover (Woods1995).
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The size of the labour turnover depends upon the proportion that the total number of employees hired
during the year bears to the size of the labour force that must be maintained. Companies should take a
deep interest in their employee turnover rate because it is a costly part of doing business (Bentalletet
al.1999). This is because labour turnover represents a significant direct cost in terms of recruiting, poor
production practices and reduced standards as well as high replacement and training costs (Barlett
2009). On the other hand, most organisations have been successful because of the organisation’s ability
to retain employees (Chipunza and Michael 2009; Luecke 2002). This is because maintaining the same
labour helps to ensure consistency in the output of work. However, there is a percentage of labour turn
over that is inevitable and normal for business operations. For example, workers who pass away or fall
ill must be replaced, or workers who are incompetent and untrainable need to be fired. Employee
turnover may be classified into the following five categories:-
a) Functional Vs Dysfunctional Turnover: Functional turnover can be defined as “A turnover in

which poor performers leave” an example of this areworkers or employees who are ill, become deceased
or incompetent or dismissed (Nkomo 2010 p.23). Dysfunctional turnover can be defined as turnover in
which good performers leave (Ibid).
b) Avoidable Vs Unavoidable Turnover: A turnover that happens in avoidable circumstances is called

‘Avoidable Turnover’, where as a turnover that happens in unavoidable circumstances is called
‘Unavoidable Turnover’ (Lockwood, 2006) Buhler (2002) points outthat avoidable turnover results
from life decisions that extend beyond an employer’s control, such as a decision to move to a new area
or a job transfer for a spouse. Avoidable turnover is something organisations can prevent by hiring,
evaluating and motivating their employees more efficiently. Chiu and Francesco (2003) propose that it
is important to evaluate whether the organisation is dealing with voluntary turnover that could have
been prevented.
c) Voluntary Vs Involuntary Turnover: This is a situation in which an employee chooses to quit or

the employee leaves at their own discretion (Chipunza and Michael 2009). Involuntary turnover on the
other hand is a situation in which employees have no choice in their termination; for example, sickness,
death, moving abroad or employer’s initiated termination (Ibid). Additionally, Staw (2007) states that
voluntary employee turnover can be caused by lack of job satisfaction, alternative job opportunities
as well as job stress.
d) Internal Vs External Turnover: Internal turnover happens when employees send-off their current
position and getting a new position within the same organisation (Huang et al. 2003). It is also internal
when employees leave their current assignment and take up new roles or positions within the
organisation. This could bring both positive and negative feelings. It is related with the internal
recruitment where organisations filling the vacant position by their employee or recruiting within the
organisation.
e) Skilled Vs Unskilled Turnover: Untrained, uneducated and unskilled positions often face high
turnover rate. Without the organisation or business incurring any loss of performance, employees can
generally be replaced. On the other hand, skilled and educated positions may create a risk to the
organisation while leaving. Therefore, turnover for skilled and educated professionals incur
replacement costs as well as competitive disadvantage of the business.
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3.1 Retention Strategies
Employee retention may be defined as a sum of all those activities aimed at increasing
organisational commitment of employees, giving them an overall ambitious and myriad of
opportunities where they can grow by outperforming others (Bogdanowicz and Bailey, 2002). The
following are some strategies that are invaluable in a retention program:
 Culture and Commitment: A strong company culture is one that places value on people, fosters
teamwork, is forward thinking and encourages open communication. Staw (2007) suggests a
successful retention plan must involve all departments and levels of an organisation.
 Compensation packages: These should be competitive with other construction firms in the region
(Sutherland, 2000). If not, one method to bring them to a more comparable level is to offer bonuses
based on performance, quality of work, timely or early project completion or other specified
objectives.
 Non-salary related incentives: Such as insurance coverage, paid time off or a flexible work
schedule – can also be incorporated into a compensation package to make it more enticing.
 Rewards and recognition: Long hours and hard work that go unnoticed will leave employees
feeling deflated (Mark and Sockel, 2001). Some forms of recognition include service awards,
congratulatory/promotion letters signed by top executives and promotion announcement. Further,
companies must consider a systematic compensation/bonus program designed to establish
milestones and reward top performers (Harris 2002).
Globally, employers admit that one of the most difficult aspects of their jobs is the retention of
key employees in their organisations (Litheko, 2008).On the other hand, a poor relationship with a
manager is one of the primary reasons people become dissatisfied. One solution is periodic leadership
training and retraining directly taught by company leaders (Luecke, 2002). Griffeth et al (2004) asserts
that empirical studies have revealed that factors such as competitive salary, good interpersonal
relationships, friendly working environment, and job security were reported by employees as key
motivational variables that influenced their retention in the organisations. Ongori (2007) cites an
example of Mercer Human Resource Consulting who revealed5 key factors influencing employee
commitment and motivation with percentage of employees voting for each of the factors as follows:
Being treated with respect - 85%, work-life balance - 79%, providing good service to others - 74%,
quality of work colleagues - 74% and type of work - 73%.It is therefore important to recognise the
commitment of individuals to an organisation, as well as the organisation’s need to create an
environment in which one would be willing to stay (Harris, 2000). This is important because
organisations failing to retain high performers will be left with an understaffed, less qualified
workforce that ultimately hinders their ability to remain competitive (Rappaport et al., 2003).
3.2 Turnover and Performance
According to Abbasi et al. (2000) employees are seen as major competitive advantage to be maintained;
as such, labour turnover should be discouraged by management. Labour turnover affects both workers
and firms. For example, Hall (2007) finds high labour turnover negatively linked to labour productivity.
Baron et al. (2001) also noted that labour turnover is disruptive. Further, each time an employee leaves
356
the firm incurs significant cost, both in terms of direct costs (replacement, recruitment and selection,
temporary staff, management time), and also in terms of indirect costs morale, pressure on remaining
staff, costs of learning, product/service quality, organisational memory) and the loss of social capital
(Dess et al. 2001). Harris et al. (2002) theory asserts that high turnover lowers firms’ incentives to
provide staff training programs and, therefore, reduces productivity. Alternatively, job matching theory
postulates that turnover can help employers and employees to avoid being locked in sub-optimal
matches permanently, subsequently increases productivity.Morell et al (2004) identifies direct and
indirect costs of voluntary turnover as replacement, recruitment and selection, temporary staff,
management time, morale, pressure on remaining staffs, costs of learning, product or service
quality, organisational memory, and the loss of social capital (Dess et al. 2001). More specifically,
what the employees currently are looking for is interesting work, employer flexibility, feeling valued
and having training and advancement opportunities which finally, become the major factors
influencing their decision to change jobs (Cunningham, 2002). Firms operating in the ZCI are not
immune to such effects; hence, the need to assess ways of retaining employees and what can be
improved upon is inevitable.
4. Research Design and Methodology
Research design refers to the overall strategy that is chosen to integrate the different components of the
study such as data collection and analysis (De Vaus, 2006). This study adopted both qualitative and
qualitative methods of data collection and analysis because qualitative methods are able to provide
the actual explanation of facts or quantitative data (Saunders et al., 2008).
4.1 Data collection areas and target groups
A questionnaire survey was adopted for this research because it is less costly and allows contact with
many responses (Saunders et al. 2008). Data collection was done in Lusaka and the Copperbelt
provinces of Zambia due to the heavy presence of construction activities compared to other provinces.
Additionally, the two provinces accounts for over 75% of contractor and consultant population in the
country. Only contractors involved in building and civil works were considered from grades 1 – 3 using
stratified sampling method of proportions as the contractors within a grade have homogeneous
characteristics (Greener, 2008; Liu and Fellows, 2008). Using the formula (Greener, 2008):
ni = (Ni/N) n ......................
Equation 1. Source: Greener (2008)
Where; Ni = Sample strata,ni = Sample size from strata. n = Sample size, N= population size.
Consultants and construction employees were also targeted and judgmental sampling was used in
selecting the samples. 35 questionnaires were distributed to contractors and 17 were answered resulting
in a 48.6% response rate from contractors. 31 and 50 were distributed to consultants and construction
employees respectively with 8 and 35 being returned respectively resulting in a 25.8% and 70%
response rate. The overall response rate for the research was 51.72%.
357
4.2 Data Analysis
The Relative Importance Index (RII) was calculated for use in the ranking of the factors using the
equation 2 (Badu et al. 2013). This was based on the response to questions with Likert scale.
RII =Ʃw
A*N
Where W = weighting given to each statement by respondent with a range of 1 – 5, A = highest response given
and N = Total
Equation 2. (Badu et al. 2013)
5. Research Findings and Analysis
From the data collected, the findings have been divided into contractor and client response. These have
been divided in parts A and B.
5.1 Part A – Contractors’ Findings
The following are the findings from the contractors:
Respondent profile
From the responses, 52% had over 10 years of existence while 48% had 5 – 10 years of experience.
Duration in construction is an important feature when studying labour turnover. Labour turnover has to
be measured over at least a period of a year; therefore, the companies in this survey have been involved
in the ZCI for a long period of time to assess this.
Occurrence of Labour Turnover – Has there Been an increase in Labour Turn Over at your
Firm?
60% indicated no with 40% indicating yes which shows that there has not been an increase in the
number of people leaving. However, this does not mean there is no labour turnover happening. Labour
turnover is measure over a longer period of time with regard to the number of workers at the company.
Factors leading to Labour Turnover

Poor working relationships was the highest ranked with Relative Importance Index -RII of 85%. The
2nd factor was poor working conditions at 76%. Poor relationships with co-workers and poor company
management with RII of 63% and 61% were ranked 3rd and 4th respectively. Therefore an employee
retention plan in the ZCI should seek to improve these two factors which have also been seen to be
major factors in other countries (Chipunza and Michael 2009).
The Effect of Labour Turnover on Performance – How does labour turnover affect the
following?
The respondents ranked increased work load and poor performance as 1st and 2nd respectively. Low
productivity and loss of skilled employees were ranked 3rd and 4th respectively with poor customer
service being the least. From these findings, employers therefore believe that labour turnover does affect
performance as indicated by other findings (Morell et al. 2002). This makes this research even more
relevant to the ZCI.
358
Direct and Indirect Costs
Hiring a new employee was ranked 1st with RII of 88%. The 2nd and 3rd were replacement of old workers
and training new employees with RII of 77% and 69% respectively. This results was also similar with
findings of Ongori (2007) and Chipunza and Michael (2009). Administrative was ranked 5 th while
marketing costs was ranked 4th with RII of 54% and 61% respectively. With respect to indirect costs,
project overtime and reduced project performance were ranked 1st and 2nd with RII of 89% and 78%
respectively. Low product quality with RII of 72% was ranked 3rd while additional work load on
employees was ranked 4th with RII of 64%. Decreased employee morale with RII of 52% was 5 th. The
least ranked was reputation of the company 6th with RII of 41%
Use of Retention Plan By Organisations – Do you have a retention plan?

Realize the effect of labour turnover on a construction project, contractor were asked to indicate if they
implement a retention plan or not. 41% indicated that they do have a retention plan while 59% indicated
that they do not have one. With the majority indicating that they do not have retention plan, it is; thus,
inevitable that contractors are encouraged to put one in place in order to avoid the negative
consequences of not having a retention plan. However, the following were given as the common
methods or tools used in the retention plan: Giving bonuses, promoting workers and giving breaks after
a period of work.
Organisational Factors Leading to Employees staying with the Employer – What improvements
would make your employers stay?
Improving working conditions was ranked 1st with RII of 84, whilst improving worker-employer
relationship and working relationships with fellow employees were ranked 2nd and 3rd with RII of 70%
and 64% respectively. Improving company management was ranked 4th with RII rating of 63%. These
findings are in agreement with what other researchers have established (Bogdanowicz and Bailey 2002)
Hence, employers have shown that improving working conditions would influence the stay of the
employees. This is very important for the construction industry since it involves working in different
environments and people. Employers can therefore seek to have a retention plan that has improved
working conditions.
What incentives can make employees stay with employer?

In trying to understand what incentives or conditions will make employees stay, the employers were
asked to rank factors that employees consider most. From the findings bonus/reward and good salary
were ranked 1st and 2nd with RII of 87% and 85% respectively. Regular pay and promotion incentives
were ranked 3rd and 4th with the RII rating of 81% and 75%. The least ranked, 6th, was having a pension
scheme and job security 5th with RII of 63% and 69% respectively. Essentially these are some of the
conditions of service that employers must try to improve if employers are to return their employees and
have been acknowledged by other researchers (Staw 2007).
5.2 Part B - Employees Findings
Previous work experience

Respondents were asked if they did quit a job in the last 12 months. 70% of the employees revealed
they had quit before while 30% said they had worked for more than 2 years with their current employers.
This implies; therefore, that workers are more likely to leave after a period of 2 years. Though in other
industries, this has been found to be an average of 6 years (Chipunza and Michael 2009). Further in
trying to assess the level of employee turnover, employees were asked if they intend to quit their current
359
job. 68% said no whilst 32% said yes. This shows that there is labour turnover taken place in the industry
at all levels whether professional or craftsmen level. The findings further imply that the employer can
put everything in place, the choice to leave or intention to leave remains with the employee. This is
what can be referred to as dysfunctional turnover and has been experienced in other countries and
industries (Ongori 2007; Bogdanowicz and Bailey 2002; Chipunza and Michael 2009).
Labour Turnover and Performance

Employees were asked if labour turnover affected their performance and 66% indicated affirmatively
whilst 34% indicated otherwise. This demonstrates that labour turnover does affect the performance of
the employee. If turnover does affect performance then turnover should be controlled. However on the
employer turnover has a negative impact as earlier shown. When asked how turnover has affected their
performance the respondents indicated that besides it being viewed as having a negative effect, they
indicated that it helps to give them more skills, acquire more experience, improve co-worker relations
and increase their earnings, a much reason why voluntary turnover exists (Ongori 2007).
Organisational Factors That Make Employees Leave

Poor working conditions was the highest ranked factor 1st, with 85% while poor working relationship
with employer was ranked 2nd with RII of 80%. Poor relationship with co-workers was ranked 4th with
65% and poor company management was ranked 3rd with 79% RII. The least ranked was harassment at
6th with RII of 40%.
Conditions That Lead To Employees Leaving

Respondents indicated poor salary as the 1st factor or conditions that would lead to them leaving an
organisation with the RII o 86%. The 2nd ranked was irregular payments with 70% RII. The 3rd and 4th
conditions were job dissatisfaction and job insecurity with RII of 58% and 40% respectively. The 5 th
ranked was lack of promotion with RII of 35%. The least was job creation ranked 6th with RII of 20%.
6. Conclusion
Employees are an important part of the construction process. It is important that every firm ensures that
employees are well maintained if success is to be achievedin the infrastructure delivery process.
However, the challenge of employee turnover has continued to affect the construction industry
including the ZCI. This has been largely attributed to poor working conditions and employee-employer
relation (Bogdanowicz and Bailey 2002; Ongori 2007; Chipunza and Michael 2009). Hence, it is
imperative that a strategy to retain employees is put in place realizing that employee turnover affects
performance and leads to indirect costs such as lose of morale and the recruitment process. Further, ,
employee retention strategy must go beyond financial incentives and consider other factors such as job
security. Hence, the firms in the ZCI must consider applying both monetary and non-monetary
approaches by giving employees bonuses, paying workers regularly and fairly, health benefits, more
responsibility, job security and creating an environment that is conducive for working. This is because
these factors were noted as leading to labour turnover in the ZCI. However, these findings cannot be
generalized due to the fact that the data was not representative of the ZCI since it was collected from
two out of ten provinces. Additionally, the use of the questionnaire did not provide a deep understanding
of issues surrounding employee retention and in future an interview approach could be utilised to
understand employee retention deeply.
360
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DII 2017-015
Green Building Practices and Principles in the Zambian

Construction Industry
Mutinta Sichali1, Ismo Heimonen2, Luke Banda3
Abstract
Experiences on green buildings projects can encourage people to make the right choices on the green
building practices conducted on construction sites and in turn reduce the negative effects on the
environment. Understanding the level of awareness, perceptions and attitudes of artisans, communities
and professionals on green building practices provides a good baseline on which to disseminate
information on green building technology. This paper investigated the level of awareness, attitudes and
perceptions of green building practices amongst participants in a green buildings housing project in
North-western and Lusaka provinces of Zambia. A qualitative descriptive cross sectional study was
used and all the people who were directly involved in the project were interviewed. The findings suggest
that amongst the professionals and artisans who were interviewed, the ones who had participated in
other sustainability projects showed greater awareness than those who did not. The professionals had
attained the knowledge from workshops, media, green building demonstration houses and institutions
of higher learning while the artisans had attained it from a previous project on renewable energy. The
community members who were aware were few but the few had attained this knowledge from reading
and watching documentaries. The results suggest that professionals who spent most time on the green
building project demonstrated greater awareness. On the other hand the artisans who spent an equal
amount of time on the project seemed not to have gained as much awareness in comparison with the
professionals. The professionals showed the highest positive perception and attitude on the Likert scale.
All the groups agreed that green building materials could only be affordable if they were locally
produced. The study concluded that the best way of training the local community is by demonstrating
the use of local materials and practices whereas for the professionals and artisans, the introduction of
regulations on green building practices may increase the level of awareness.
Keywords: energy efficiency, green building technology, sustainable construction36
1. Introduction
The Zambian construction industry is one of the fastest growing industries in the Sub- Saharan region
and the construction sector contributes 27.5% of the Gross Domestic Product (GDP) of which the
building industry is a part (Zambia invest. Magazine, 2014). Buildings are responsible for 30% of all
1School of Public Health, Department of Environmental Health, University of Zambia, Ridgeway Campus, P.O. Box 50110,
Lusaka, Zambia; [email protected]; +260-1-252641, Fax: +260-1-250753.
2VTT Technical Research Centre of Finland Ltd. Vuorimiehentie 3, Espoo, P.O. Box 1000, 02044 VTT; [email protected]
3School of Public Health, Department of Environmental Health, University of Zambia, Ridgeway Campus, P.O. Box 50110,
Lusaka, Zambia; E-Mail: [email protected]; +260-1-252641, Fax: +260-1-250753
363
greenhouse gas emissions, 65% of waste output, 70% of electrical consumption and 12% of water
consumption (National Energy Balance, 2009). Buildings which are not built in a green way can affect
the health, safety, comfort and productivity of the occupants (Singh et al., 2010). Green building
practices emerged to mitigate the effects of the increasing impact on the environment and to improve
the building construction process (Diana and Victor, 2012). Sustainable buildings can be a showcase to
educate people about environmental issues, possible solutions, partnerships, creativity, and
opportunities for reducing environmental impacts in our everyday lives (Diana and Victor, 2012). Green
building, or sustainable design, is the practice of increasing the efficiency with which buildings and
their sites use energy, water and materials, and of reducing impacts on human health and the
environment for the entire lifecycle of a building (Abimbola, 2014).
2. Background
There many reasons behind green building development, some are economic others are ecological. An
increase in the awareness of energy inefficiency and global climate change has significantly impacted
the building sector in the recent years. More people are aware of the notion of going green as they incur
huge energy bills and high building operational cost. Delivering sustainable construction requires action
from all engaged in constructing and maintaining the structure including those providing design,
consulting and construction services (WS Atkins Consultants, 2001).
The first line of contact of the building with its users are the professionals in the construction industry
and are the best advocates in promotion of green building practices. The lack of expertise’s knowledge
in green building development creates an environment that lengthens development time frames (Choi,
2009). The rate of success towards sustainability in construction would depend mainly on enhancing
awareness, knowledge and understanding of the influences of people action (Usman and Mohd, 2012).
The knowledge gained will yield a number of benefits, firstly knowledge does influence attitudes
towards positive environmental responses and secondly the people begin to apply this knowledge in
their day to day decisions on the use of resources, energy, water and waste. The aim of this paper was
to determine how much awareness people gained from green building projects and to understand their
attitude and perception on these practices. The projects that were picked were the Larfage green
buildings of Lusaka, the Lumwana and Kalumbila projects of North western provinces of Zambia. The
projects were initiated by The International Labour Organisation (ILO) through the Zambia Green Jobs
Programme (ZGJP) the aim of which was to involve local participation. This local participation
involved professionals, artisans and the local communities. After the construction of the houses, there
has been no follow up to assess how much awareness on green building technology and practices were
gained by the participants of the project.
The objective of this paper was to explore the level of awareness of green building practice, perception
and attitudes of participants in a green building demonstration project. This was a descriptive cross
sectional study and it used a qualitative method design. The research type was adopted from two similar
studies by Usman and Khamidi, “Determined the Level of Green Building Public Awareness” and
“Green Buildings: Analysis of State of Knowledge,” (2012) by Diana and Victor. The studies carried
out surveys to investigate the level of awareness about green building practices.
364
A focusgroup discussion was held with the Lumwana community business association. These were
either suppliers or they participated in the building as bricklayers although they were not included in
the category of artisans. The main research instrument used was a well-structured questionnaire
containing both closed and open ended questions. Figure 1 shows who the participants were and all the
31 participants who were available were interviewed.
Figure 2: category of the participants of the study
The data gathered was measured on a Likert Scale and analysed qualitatively (scale-type of questions
open-ended questions).
The questionnaire had four sections as follows:
a. Part A: respondent’s background.

b. Part B: the awareness on green building technology; where the participants were asked
to define green building technology, to identify the green building materials and how
the technology was applied on the projects
c. Part C: the perception ; they were asked open ended questions whether they agreed
with green building practices and asked to explain their answers
d. Part D: the attitude; in there the Likert scale was used to see their level of agreement or
disagreement to the green building practices.
3.1 Data analysis
The measure of green building awareness in this paper was based on rankings created on a Likert scale,
A 4 point awareness scale was used (1<very low ,2<low, 3<medium, 4<high). This type of ranking was
based on a similar study that was done by Nazirah Z. et al. (2014).The data was generated from the
awareness ranking scale that was created and it brought out mean scores for all the groups of
participants. The American LEED system standardised concepts of green technology were used as a
scoring chart. The following were the themes from which the questions were drawn:
a) Sustainable site planning
b) Safeguarding water and water efficiency
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c) Energy efficiency, renewable energy and lower greenhouse gas emissions
d) Conservation and the reuse of materials and resources, and improved health and indoor
environmental quality.
The attitudes and perceptions were explored using a thematic analytical technique, where the themes
were developed using categories based on participants’ responses and the resulting data (Fossey et al.,
2002). The perceptions and attitudes helped explain the results that were seen in the awareness scale
and these were measured on a Likert scale. The perceptions and the attitudes were scaled with 1- 5,
with 1= strongly agree and 5= not sure. A correct answer meant a good attitude for that particular
question and the mean average was found for each group to see which group of participants had a good
attitude and perception on green building technology.
Table 3 presents summary results for socio-demographic variables of the study participants. The
majority of the respondents were professional males (n=10, 83.3%). This is followed by artisans (n=2,
16.7%). Half of the female respondents were community members (n=6, 40.0%), followed by artisans
(n=7, 43.7%) and lastly professionals (n=2, 13.3%). The professionals category has more than three
quarters (83.3%) of respondents aged 21 to 30 years whereas the artisan category had slightly more than
half (54.5%). The community comprised of those aged above 40 mostly (45.4%) compared to the
professionals (27.3%) and artisans (27.3%). For the least number of years of experience, 0 to 5,
professionals and artisans were represented by about 44% of the sample each. With regard to the longest
experience period, each category only had a single individual with 21 to 30 years of experience.
Table 3: The social demographic characteristics of the participants

Community Professional Artisans
Count Percent Count Percent Count Percent
Gender
Male 0 0.0% 10 83.3% 2 16.7%
Female 7 46.7% 2 13.3% 6 40.0%
Age group
21-30 1 16.7% 5 83.3% 0 0.0%
31-40 2 18.2% 3 27.3% 6 54.5%
More than 40 5 45.5% 3 27.3% 3 27.3%
Education level
Primary level 1 16.7% 0 0.0% 5 83.3%
Secondary level 4 44.4% 1 11.1% 4 44.4%
Tertiary 3 23.1% 10 76.9% 0 0.0%
Occupation
Architect 0 0.0% 3 100.0% 0 0.0%
Quantity surveyor 0 0.0% 1 100.0% 0 0.0%
Engineer 0 0.0% 1 100.0% 0 0.0%
Bricklayer 2 20.0% 0 0.0% 8 80.0%
business man 6 85.7% 1 14.3% 0 0.0%
Contractor 0 0.0% 2 100.0% 0 0.0%
Planner 0 0.0% 2 100.0% 0 0.0%
Carpentry 0 0.0% 1 50.0% 1 50.0%
Years of experience
0-5 1 11.1% 4 44.4% 4 44.4%
6-10 5 41.7% 3 25.0% 4 33.3%
11-15 1 50.0% 1 50.0% 0 0.0%
16-20 0 0.0% 2 100.0% 0 0.0%
21-30 1 33.3% 1 33.3% 1 33.3%
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Figure 1 presents the average awareness scale for professionals. The findings suggest that Architects
have the highest level of awareness at 3.7 followed by project managers and clerk of work at 3.5,
Quantity surveys at 3.3. Similarly, planners and engineers had medium level of awareness, whereas
contractors seemed to be the lowest. When asked were the different professionals had acquired their
knowledge from, architects had peril knowledge from the university and they had been involved in a
previous green building project. The clerk of works also showed high level of awareness due to his
experience on the green building demonstration site. The quantity surveyor showed medium level of
awareness and this could be due to the fact that he had been involved in a previous green building
project. However, some studies have shown that awareness had been gained from personal interest
(Ameh et al., 2007). Amongst the planners the levels of awareness also differed when the study further
inquired it was seen that the one who was more aware had more years of experience and had attended
courses on green building practices. The contractors seemed to be at the lower end of the scale despite
having spent more time on the green building project. Other studies show that the contractors’
involvement is limited in the influence of green building practices but they can play a major role in
recycling and reusing construction debris, limiting the use of hazardous materials and protecting
vegetation (Buys and Hurbissoon, 2011).
Figure 1: Awareness scale for professionals
In similar studies awareness of the professionals’ practitioners in construction industry was 48% and,
30.6% respectively (Nadzirah and Carmen, 2015; Ntshwene et al., 2014), this is lower than the results
in this study which found the awareness of the professionals to be at 64% as shown in figure two (2)
below. The average community awareness was low at (n= 2, 22%), however two community members
showed greater awareness.
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Figure 2: Level of awareness for green building technology
The artisans’ awareness was much lower at (n=2, 11%); while on the artisans’ scale it seemed that those
who had high awareness had a tertiary education and had been involved in a previous energy renewable
project. From the results it can be suggested that a high education may encourage interest in green
building technology. This is in line with MiladSamari (2013) who showed a significant relation between
professional awareness and education level.
Figure 3: Awareness level scale for artisans
The artisans despite having spent equal amount of time on the demonstration site did not show high
level of awareness. This could be attributed to the lack of training and awareness given to them before
and during the project. Awareness of green building depends on the understanding of the individual
actions, quest for knowledge and absolute involvement and commitment to the principle (Abolore,
2012). From figure four (4) it can be seen that the highest percentage of the participants had less than
six (6) years’ experience. The professionals despite having less years of experience seemed to show
greater awareness compared to the artisans who had spent an equal amount of time on the demonstration
site. When the professionals were asked where they had attained the awareness on green buildings as
seen from figure five (5), the highest was through training and green building projects while the rest
(media, workshop and others) was lower.
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Figure 4: Participants working experience in the Building industry
The sources of information varied across the participants, which suggests that no one strategy could
work. Others studies have shown that the awareness was obtained from building regulations, personal
research and formal training (Ntshwene et al., 2014), while another study showed that it was obtained
from internet, through magazine and Newspapers and through their real estate agent (Usman and Mohd,
2012). In Zambia green building practices have not been incorporated into the building bye laws and if
these regulations were available possibly more professionals would access this information.
The study suggested that demonstration houses can be a good source of knowledge for those that take
time to learn from it. The perception scales ranged from strongly disagree to strongly agree (5 point
Likert scale). The corresponding findings are presented in figure 6. On average, the community and
artisans disagreed that the maintenance cost of green buildings compared to conventional buildings is
high. Professionals also disagreed but this was further explained that the maintenance cost on green
buildings depended on the source of the building materials and the use of materials found within a local
setting. Moreover, practically all three — the community, artisans and professionals agreed, with a
mean score of about 4, that the benefits of using green building designs are greater compared to
conventional ones. Further, only professionals strongly agreed (mean score of about 5) that rain water
can be collected and used for domestic purposes whereas artisans agreed and the community were not
sure. With respect to green building having sufficient natural lighting, each of the three groups sampled
agreed.
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Figure 5: Sources of awareness on green buildings
The community perception on the efficient use of energy in green buildings was low. This could be due
to their low awareness of what energy efficient meant while the professionals were aware. There was a
disparity in the community answers in that even though they disagreed that green buildings were energy
efficient they strongly agreed that green buildings have better internal air quality and sufficient natural
lighting. The participants were asked if rain water and bathroom and sink water could be reused for
bathing and gardening respectively. All the professionals agreed that rainwater could be reused but only
41% of the artisans agreed that bathroom water could be reused for watering, while the community 65%
agreed to reusing rainwater. This could suggest that when it comes to reusing rain water the perception
for both groups was positive while for the reuse of bathroom water the perception is negative. All the
participants agreed that there were more benefits from using green.
The community and professionals had a positive attitude towards the use of green building practices,
although some of the professionals mentioned that the house was too small for an average family size.
When asked whether the materials were accessible and affordable both the community and the
professionals were positive and both also strongly disagreed that the green buildings concept was
foreign and would not be accepted. Some explained that if local materials were not used and foreign
based materials were introduced then it would be a foreign concept. When asked if they would
recommend green building technology all the participants agreed with a mean score of 4.5. When asked
whether the demo houses were a good way of learning green building technology 80% agreed that it
was, while 10% thought workshops were the best and 10% thought a combination of workshops and
demo houses would be the best way to learn.
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Figure 6: Perception of green buildings technology
5. Conclusion
The study suggests that even though the awareness levels among the artisans and the community was
low their attitude and perception of green buildings practices was very positive. There is need to increase
awareness among all the participants and the environment should be conducive for the development of
green buildings. The introduction of green building practices in the building bye laws will
institutionalise the practices. The demonstration houses have aroused a lot of curiosity in the
communities where they have been built and introduction of green building technology will be a
welcome strategy especially if built upon already existing local technologies. The actors in the building
industry should be used as catalysts in the promotion of green building technology. More education is
required for the artisans and this should be practical demonstration and not theoretical. The
professionals can go through continuous professional development, workshops and involving them in
green buildings demonstration projects. The community could have community based education
programmes where green building practices are demonstrated.
6. Limitations
The limitations were that this study is not representative of the construction industry and the sample
size was very small to make any definite conclusions. It will require further research and a more
representative population.
371
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373
DII-2017-024
Importance of Transport Infrastructure for Socio-
Economic Development: A South African Public Opinion
Survey
Gert Heyns1, Rose Luke2
Abstract
This paper presents results of an investigation of the importance of transport infrastructure to socio-
economic development. It reviews selected areas of transport infrastructure provision which inhibits
the achievement of the transport objectives as described by selected policy documents, such as the
South African White Paper on National Transport Policy, the National Development Plan and, more
recently, the National Transport Masterplan (NATMAP). The results are from four years of the Institute
of Transport and Logistics Studies’ (Africa) State of Transport Opinion Poll (TOP), an annual survey
of 1,000 adults across South Africa, which investigates the public’s opinions on certain transport
matters, including the importance of transport and the perceived highest transport priorities. Other
factors include conditions of transport infrastructure and services, and perceptions on the current and
future state of transport.
The findings from the study indicated that the availability and overall condition of transport
infrastructure is not delivering transport services which address the needs of the South African public.
Major areas of concern for South Africans include mobility, accessibility, affordability and safety. The
views from respondents included differences between provinces, indicating disparities in infrastructure
provision across the country as well as from an urban/rural perspective, indicating the continuous divide
between accessibility levels. Although the sample size could be viewed as a limitation of the study,
the individual results over the four-year period provides a comparable representation of public opinion
on transport infrastructure matters across South Africa as a whole. This research provides an original
contribution to transport research because it is the only annual survey that gauges public opinion
regarding transport infrastructure and services in South Africa.
Keywords: infrastructure, public opinion, public transport, TOP South Africa survey, South Africa
37
1Lecturer;Institute of Transport & Logistics Studies (Africa); University of Johannesburg; PO Box 524, Auckland Park,
2006; [email protected].
2Senior Lecturer; Institute of Transport & Logistics Studies (Africa); University of Johannesburg; PO Box 524, Auckland
Park, 2006; [email protected].
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1. The Transport Infrastructure Policy Environment in South Africa
The White Paper on National Transport Policy is South Africa’s primary policy paper for the provision
of transport in the country (Department of Transport, 1996). The White Paper provides a vision for
transport for the country: "Provide safe, reliable, effective, efficient, and fully integrated transport
operations and infrastructure which will best meet the needs of freight and passenger customers at
improving levels of service and cost in a fashion which supports government strategies for economic
and social development whilst being environmentally and economically sustainable" (Department of
Transport, 1996, p. 5). The implication for infrastructure is that it needs to be provided and maintained
in a manner that supports the vision. The goals of the white paper are more specific:
 To support the goals of the Reconstruction and Development Programme for meeting basic needs,
growing the economy, developing human resources and democratising decision making
 To enable customers requiring transport for people or goods to access the transport system in
ways which best satisfy their chosen criteria
 To improve the safety, security, reliability, quality and speed of transporting goods and people
 To improve South Africa's competitiveness and that of its transport infrastructure and operations
through greater effectiveness and efficiency to better meet the needs of different customer groups,
both locally and globally
 To invest in infrastructure or transport systems in ways which satisfy social, economic or strategic
investment criteria
 To achieve the above objectives in a manner which is economically and environmentally
sustainable and minimises negative side effects (Department of Transport, 1996, pp. 6-9)
Analysis of the White Paper’s vision and goals indicate that transport infrastructure, both new and
existing, needs to assist in meeting basic mobility needs; it should assist in providing a reasonable level
of accessibility; the quality of the infrastructure should be such that the movement of people is not
constrained and more particularly, that safety is enhanced rather than jeopardised by infrastructure; that
infrastructure should enhance the functioning of the economy and not limit it and that it should prioritise
environmentally friendly means such as public transport over less environmentally sensitive transport
such as motor vehicles. Transport infrastructure thus needs to support the socio-economic development
of the people of South Africa.
The White Paper also makes specific recommendations in respect of transport infrastructure. It provides
that as part of the overall long-term vision for the South African transport system, transport
infrastructure will, amongst others:
 be structured to encourage public passenger transport and to discourage excessive private

passenger transport in urban areas,
 allow for seamless intermodalism,
 provide adequate accessibility together with safety and security within the constraints of social
affordability,
 incorporate technological advances which promote and enhance the role of transport in the
economy and development, and
 be structured to ensure environmental sustainability and internationally accepted standards
(Department of Transport, 1996, p. 17).
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The mission for transport infrastructure is described as “To provide an integrated, well-managed, viable
and sustainable transport infrastructure meeting national and regional goals into the 21st century, in
order to establish a coherent base to promote accessibility and the safe, reliable, effective and efficient
movement of people, goods and services” (Department of Transport, 1996, p. 17)
The mission is supported by strategic objectives, including:
 Maintain and develop the transportation infrastructure system, and prioritise its development in
terms of sustainable economic and development needs,
 Aid the promotion of a strong, diverse, efficient and competitive transportation industry within
the limits of sustainable transport infrastructure,
 Promote environmental protection and resource conservation,
 Enhance the competitiveness of South African industry and the quality of life of its citizens by
providing protection of consumers, safety and security, and meeting accessibility, reliability
and mobility needs by providing transport infrastructure to serve the purpose,
 Ensure that the transport needs of the country's disabled population are taken into account when
new infrastructure is planned and designed (Department of Transport, 1996, p. 18).
The specific principles regarding transport infrastructure, in as far as people movement is concerned,
are that infrastructure should provide for an integrated system, which favours public transport. It should
be competitive, safe, reliable, affordable, accessible, world class and environmentally sustainable. It
should also support socio-economic development, enhance mobility needs and cater for passengers with
special requirements.
Transport policy in South Africa is not however only guided by the White Paper on National Transport
Policy. More recently, the government issued the National Development Plan (NDP) (National Planning
Commission, 2011). Although this plan is aimed at the development of the economy as a whole, it
makes specific recommendations regarding transport. In particular, the NDP requires that, by 2030,
investments in the transport sector ensure that it serves as a key driver in empowering South Africa and
its people, enabling, amongst others:
 Improved access to economic opportunities, social spaces and services by bridging geographic
distances affordably, reliably and safely
 Greater mobility of people and goods through transport alternatives that support minimised
environmental harm (National Planning Commission, 2011, p. 161).
Crucially, in its executive summary, transport is seen as one of the pillars to increase employment and
broaden opportunities (National Planning Commission, 2012). An investment priority is therefore
public transport infrastructure and systems, including the renewal of the commuter rail fleet, supported
by enhanced links with road based services (National Planning Commission, 2012, p. 56). The plan
emphasizes the provision of public transport which is safe, effective, energy efficient and affordable
and is part of an overall strategy to alleviate poverty. Transport should also be reliable and there should
be better coordination between modes. Transport costs should be reduced as a means of reducing the
cost of living for low-income households. The National Development Plan thus largely focusses
investments in public transport infrastructure on the need to provide affordable, high quality public
transport to those who need it most.
376
A more recent development in transport policy in South Africa is the National Transport Masterplan
(NATMAP 2050), a plan that guides transport policy to the year 2050. The NATMAP 2050 vision is
that transport is the heartbeat of the economy and the fabric of the country’s socio-economic
development as well as its alignment with key policy, legislation and planning frameworks recently
developed. NATMAP 2050 therefore aims to achieve an integrated, smart and efficient transport system
supporting a thriving economy that promotes sustainable economic growth, supports a healthier life
style, provides safe and accessible mobility options, socially includes all communities and preserves
the environment (Department of Transport, 2015, pp. 0-3). In this document road infrastructure
interventions, as they affect passenger transport, are largely aimed at reducing congestion by developing
freeway bypass systems for urban areas and reducing passenger volumes. As far as passenger rail
infrastructure is concerned, it is envisaged that by 2050 all metropolitan areas, and high density and
income district centres, will have a rail commuter system. Based on modal threshold specifications,
residential areas will connect with CBDs (central business districts). Similarly, linkages and integration
of various passenger transport systems and modes will be implemented by means of transfer facilities
and ticketing systems (Department of Transport, 2015, pp. 6-18). In essence, transport infrastructure
investment needs to support the strategic themes, of which, the relevant ones are outlined as:
 Is well planned, integrated and aligned across sectors

 Is responsive to growing passenger and freight customer needs
 Is well maintained and preserved and further developed to advance developmental challenges
 Offers safe, affordable and accessible modal options for passengers
 Preserves the environment
 Is innovative / adaptive and reflect emerging priorities
 Is sustainably funded (Department of Transport, 2015, pp. 0-3).
Analysis of the policy documents indicates that, although the policy is described in a variety of
documents, common themes emerge. Transport infrastructure needs to be developed in such a way that
it prioritises the needs of passengers. As such principles that must be taken into account when investing
in infrastructure for passenger transport are:
 Safety
 Affordability
 Mobility
 Accessibility
 Integration
 Choice
 Socio-economic development
 Inclusivity
 Environmental sustainability
 Responsive to people’s needs
Whilst the policies are clearly outlined in terms of the above stated objectives, the repetition of the same
policy objectives in various documents over the past 21 years provides an indication that policy
objectives are not being met and transport infrastructure remains of an insufficient standard to meet the
needs of the South African commuting public. This is further illustrated by the numerous public
377
transport service delivery protests at any given time in South Africa (Africa News Agency, 2016;
Herman, 2016; Motlhale, 2016; Tswanya, 2016). This suggests that the current public transport service
offering does not meet commuters expectations and this can partly be attributed to the fact that
infrastructure constrains, rather than enhances, service delivery.
This research aims at determining public opinion on public transport infrastructure and seeks to
determine whether it has an impact of public transport services in the country and whether the
imperatives, as described by the various policies regarding transport infrastructure are being met.
The objective of the annual ITLS (Africa) State of Transport Opinion Poll South Africa (TOPSA) is to
assess the South African public opinion on a broad range of transport related issues, including public
passenger transport, toll roads, and transport usage. It is also the intent of TOPSA is to gain an indication
of community confidence regarding transport in South Africa. TOPSA is a telephone survey of 1,000
South Africans citizens, over the age of 18 years, and representative of all the South African provinces.
The first TOPSA survey was conducted in 2012 and has been conducted for four consecutive years
(Heyns and Luke, 2016; Luke and Heyns, 2013). The purpose of this paper is to evaluate the results of
the four TOPSA surveys to reveal the prevailing public opinion on transport matters, and to examine
the importance of transport infrastructure to socio-economic development through any shifts in public
perception.
The TOPSA surveys was conducted using a two-phased approach. During the first phase, an initial list
of prospective respondents were randomly chosen from database of valid subscriber phone numbers
which is representative of the geographical and socio-demographic (ethnicity, location and employment
status) characteristics of the population in South Africa. During the second phase, respondents were
chosen at random from the predetermined list to participate in a computer aided telephonic interview
(CATI). Through the quota and random sampling approach, a total of at least 1,000 willing South
Africans participated annually in the TOPSA surveys. Trained interviewers from two different market
research companies was used to conduct the annual telephonic surveys. Although the sample size could
be viewed as a limitation of the study and while a larger sample would lessen the sampling error, the
selected sampling size signifies a trade-off with the costs of conducting these surveys.
The research instrument requested demographic information such as locality, age, gender and
employment status from the respondents to ensure that the sampling is representative of the
geographical and social-demographic diversity of the South African population. The gender split of the
sample population over the four-year period is, 58.9% are males and 41.1% are females. For the first
three surveys the majority of the respondents (53.8%) were between the age of 25 and 45 years. In the
2015 survey the age group periods were reduced to five categories and indicated that the majority of
the respondents (64.5%) were between the ages of 31 and 50.
Across the four TOPSA surveys the majority of the respondents, on average, lived in metropolitan areas
(36.2%), followed closely by respondents in towns/villages (29.2%). The rest of the respondents resided
in small cities (16.6%) and rural areas (14.5%). The majority of the respondents across the four surveys
(69.7%), were employed in some capacity, compared to the 20.7% who were unemployed.
378
As depicted in Figure 1, the demographic profile from the annual TOPSA surveys approximated a fairly
accurate reflection of the South African demographic profile (Statistics South Africa, 2012).
Figure 1: Respondents’ geographical location
While the survey sample size may possibly be viewed as a limitation, the authors believe that it is
sufficiently large to indicate public opinion on transport matters in South Africa. The Roper Centre for
Public Opinion Research (Cornell University, n.d.), states that if a random sample size is increased to
1,000, given a 95% confidence level, the statistical error drops to 3%.
3. Research Results
Respondents were requested to indicate what they thought were the most critical issues facing South
Africa. Most of the TOPSA participants are of the opinion that education is the top priority in the
country, shadowed closely by health and transport, signifying that transport is one of the most crucial
issues facing South Africans today.
The TOPSA surveys indicated, for four consecutive years, that education was the highest priority issue
in South Africa. It appears that concerns around the state of education has increased significantly with
79% of the respondents nominating it as priority issue in 2015, compared to 56% and 64% in 2012 and
2014 respectively. Health, transport and safety and security are identified as the other main areas of
importance. In 2015, for the fourth year in a row, transport was identified as the third highest priority
issue in South Africa, nominated by 74% of South Africans. This has increased significantly from 47%
in 2012 and 57% in 2014, clearly indicating growing concerns. The maintained presence of transport in
the top 3 priority list further suggests that, despite certain investments in transport infrastructure and
possible improvements in transport services, there are still a growing concern amongst South Africans
that the current state of transport is insufficient in providing the required mobility and accessibility.
Over the four year period, infrastructure as a broad priority area, was identified as the tenth highest
priority concern in South Africa, with 50% of the respondents nominating it as a very high priority
issue.
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When asked to indicate what they believed to be the highest transport priorities in the country,
respondents stated, consistently over the four year review period, that the state of public transport is the
highest transport priority issue in South Africa. This is depicted in Figure 2. Specific responses
regarding public transport reveal that respondents are of the opinion that there are insufficient levels of
public transport (i.e. unsatisfactory frequencies and operating hours); poor service quality and
inadequate public transport service availability (i.e. service coverage). Although only a major issue in
Gauteng and the Western Cape, concerns regarding the e-tolling system seems to have lessened in
importance since its peak in 2013. Reasons for this could be attributed to waning media coverage, the
reassessing of e-toll pricing, or other associated factors. The cost of transport, irrespective if it is public
or private, remains a key concern for South Africans. Although generally perceived as being high by
all respondents, transport costs are of far higher concern to unemployed and younger respondents.
Generally, these results reveal that the transport priorities highlighted by South Africans have not
significantly changed over the past few years, perhaps indicating that these issues have not been
adequately addressed by policy intervention focussing on service improvements and infrastructure
developments at all levels of government.
Figure 2: Highest transport issues (2012-2015)

Respondents further highlighted road infrastructure, taxi-related issues, safety and the affordability of
transport as high priority issues. Road infrastructure related issues has been the second highest priority
issue for most of the four year review period. Specific responses regarding road infrastructure indicate
the poor state road infrastructure (i.e. potholes); lack of maintenance and insufficient road infrastructure
(i.e. require more roads, traffic lights not working).
At a provincial level, the combined data indicated that public transport is the major transport issue for
all provinces. Road infrastructure is the second highest priority for most of the provinces. This is
illustrated in Figure 3. The provinces that indicated relatively higher than average concerns regarding
road infrastructure are: Limpopo, North West, Free State and the Eastern Cape.
Noticeably, the results further indicate that road infrastructure issues are less of a concern for
respondents from urban areas than rural areas. This can largely be ascribed to road building and
380
maintenance programmes being directed on high volume traffic areas in metropolitan areas and cities.
Road infrastructure priorities (e.g. fixing potholes) are also more of an issue to older than for younger
respondents.
Since 2013, a number of specific transport issues were surveyed to gauge whether respondents believed
the services or issues were generally good or poor. As the purpose of this enquiry was only to establish
the respondents’ general impressions of specific issues, no specific service characteristics were
explicitly tested. These are illustrated in Figure 4.
Figure 3: Highest transport issues per province
Figure 4: Rating of specific transport issues
381
Respondents indicated that the significant infrastructure investments in BRT services in many of the
metropolitan areas have generally been positively received, with 69% of Western Cape residents and
68% of Gauteng residents rating their respective BRT systems as very good. On the contrary, attitudes
towards road conditions, bus services and passenger rail services have worsened.
Generally, the respondents from Gauteng, KwaZulu Natal and the Western Cape are positive about of
the quality of their roads, however respondents from all the other provinces indicated that the conditions
of their road infrastructure is very poor and gave it their lowest or second lowest rating. Figure 5 below
indicates the perceptions of the state of the various transport features per province from the 2015 results.
Green and red shading is used to indicate the most positive or negative impression of the transport
features within each province.
Eastern Kwa-Zulu North Northern Western
Transport Issue Free State Gauteng Limpopo Mpumalanga
Cape Natal West Cape Cape
Condition of roads 45.8 37.2 58.3 58.3 44.5 53.7 47.0 38.5 56.7
Road congestion 51.9 41.7 44.2 54.6 56.1 56.4 43.5 47.2 37.2
Passenger rail serv ices 56.4 55.2 49.6 54.3 45.0 58.1 47.8 50.4 34.2
Bus serv ices 53.1 57.0 57.1 58.9 58.4 65.8 67.0 50.7 60.4
Bus Rapid Transit 55.6 56.1 67.9 56.9 56.1 66.5 55.0 55.1 69.0
Minibus taxis 59.9 45.4 53.9 58.2 59.3 64.8 70.0 47.5 42.7
Figure 5: State of various transport features by province
Respondents were also asked to indicate the current state of local transport. A noticeable decline in
community confidence regarding local transport services and conditions is measured. In 2015 only 37%
of South Africans were of the opinion that transport in their local area is better now than a year ago,
contrary to the 42% in 2012. The respondents that suggested that transport in their local area was worse
or slightly worse than a year ago, gave a broad range of reasons for this, as depicted in Figure 6 below.
Figure 6: Reasons given for the worsening state of transport
Respondents mostly mentioned reasons related to a lack of adequate of public transport, concerns with
taxis (both as road users and as public transport service providers), infrastructure issues (notably
potholes), congestion (both insufficient supply of road space and the excessive demand during peak
periods), irresponsible drivers and high transport costs.
382
When questioned on the broad outlook on transport over the next five years, the majority (53.1%) of
the 2015 respondents revealed that they are of the opinion that transport prospects would be worse or
they were indifferent. This is contradictory to the 2012 results which showed that the majority (67.1%)
of respondents believed that transport would be much better in five years’ time. It seems that the
respondents’ outlooks on the general state of local transport has remained mostly unchanged over the
review period, however South Africans seemed to be far less enthusiastic on the state of national
transport.
4. Conclusion
The aim of the ITLS (Africa) State of Transport Opinion Poll South Africa (TOPSA) is to gauge public
opinion on a broad range of transport related issues in South Africa. The results from the last four
TOPSA surveys have provided the basis for this assessment of public opinion on transport infrastructure
and services and trends. In general, it if found that transport is found to be one of the most critical
priority issues in the country and infrastructure in general also being one of the ten top priorities,
indicating that transport infrastructure is not of an appropriate standard to meet the needs of South
Africans, and needs to be prioritised in future investment and other government interventions. In as far
as specific transport issues are concerned, the results indicate that transport infrastructure is almost
consistently the second highest transport priority, indicating that South Africans consider this critical to
the delivery of an appropriate transportation service. Typically, lack of appropriate infrastructure also
has a knock-on effect on the other highlighted issues such as public transport, safety, accidents and
affordability, as well as being directly associated with other highlighted issues such as rail
improvements and e-tolling. It is thus evident that South Africans believe that transport infrastructure
is not at the level aspired to in the policy documents. Some provinces also indicate higher levels of
concerns than others, suggesting an inconsistent application of the policy aspirations. Of note is that,
when government does invest in appropriate infrastructure such as the Bus Rapid Transit system, it is
very positively received by respondents. The general dissatisfaction with other infrastructure such as
taxi facilities, roads, buses and rail suggests that the levels of investment are insufficient to meet the
policy promises and the quality of the available infrastructure therefore remains below the required
standard. It is of interest that, for a large percentage of respondents, the deterioration of transport
services and the quality of transport in the country is largely attributable to infrastructure issues. The
results reflect that respondents believe that inadequate levels of investment in transport infrastructure
has had a direct impact on safety, affordability and choice. Resultantly, mobility, accessibility,
inclusivity and therefore socio-economic development are negatively impacted. The results show that,
until such time as investment in transport infrastructure reaches appropriate levels, the system will be
unable to meet a core aim of the various policy documents, i.e. being responsive to people’s needs.
Environmental sustainability is also unachievable without investment in transport infrastructure,
thereby suggesting that key requirements such as the reduction of congestion cannot be achieved. For
government to achieve its minimum transport policy objectives, it is imperative that transport
investment be increased and aimed at reducing the mobility and accessibility constraints currently
inherent to the system. It is suggested that further research be aimed at expanding the current annual
survey figures of 1000 to ensure that views are truly representative of the general population, and that
the survey be expanded to determine the specific infrastructure investment interventions that are most
likely to enhance mobility and accessibility and meet the requirements of enhancing socio-economic
development in the country.
383
References
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Department of Transport (1996) White Paper on National Transport Policy. (Available online)
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Department of Transport (2015) NATMAP 2050: National Transport Master Plan Synopsis Update,
Department of Transport: Pretoria.
Herman P (2016) Looting, burning of buses continues in some Tswane townships - As it happened.
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Heyns GJ and Luke R (2016) South African public opinion on the state of urban transport: an appraisal
of the achievement of policy objectives. Proceedings of the 22nd International Conference on Urban
Transport and the Environment, June 2016, Crete, Greece.
Luke R and Heyns GJ (2013) Public transport policy and performance: the results of a South African
public opinion poll. Journal of Transport and Supply Chain Management7, Issue1: 1-8.
Motlhale K (2016) WC Cosatu protest over poor transportation. (Available online)

http://www.thenewage.co.za/wc-cosatu-protest-over-poor-transportation/ [Accessed 21/01/2017]
National Planning Commission (2011) National Development Plan: Vision for 2030. (Available online)
http://www.npconline.co.za/medialib/downloads/home/NPC%20National%20Development%20Plan
%20Vision%202030%20-lo-res.pdf [Accessed 18/11/2013]
National Planning Commission (2012) Our future - make it work: Executive Summary (Available
online) http://www.gov.za/sites/www.gov.za/files/Executive%20Summary-NDP%202030%20-
%20Our%20future%20-%20make%20it%20work.pdf [Accessed 15/03/2017]
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Infrastructure Plan, Pretoria: Republic of South Africa.
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Tswanya Y (2016) Thousands to take part in protest against Metrorail (Available online)
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metrorail-2036855 [Accessed 13/01/2017]
384
DII-2017-059
Environmental Influences on Sustainability Dimensions in
the South African Construction Industry
Modupe Cecilia Mewomo1, Clinton Ohis Aigbavboa2, Thobakgale Machela

Esther3
Abstract
The construction industry contributes significantly to the economic growth of developing countries
including South Africa. The industry adds value to the quality of life of its citizen through the provision
of necessary infrastructures. Notwithstanding its importance and contributions, the industry has been
recognised as one of the largest environmental polluters. Its activities have significant impact on the
quality of life of people and the environment. As such, sustainable development was recognised as
prominent element for the improvement of quality of life through the maximisation and efficient use of
natural resources to address issue related to social, economic and environment. Thus, this paper
investigates the environmental sustainability dimensions that can influence the promotion of
sustainable construction ideas in the South African construction industry. The participants were
selected through non-probability convenience sampling techniques. Data were collected through the
use of questionnaire design. The targeted respondents were construction professionals in the Gauteng
Province of South Africa. A total number of 111 questionnaires were obtained and frequency analysis
of the raw data were carried out using the Statistical Package for Social Sciences (SPSS). Mean values
was obtained for each of the identified variables and the level at which each factor promotes the idea
of sustainability in the SA construction industry was determined. The study reveals seven
environmental dimensions that can promotes sustainable ideas in SA construction industry. These
factors include reduction in potential environmental pollution, efficient use of water during construction
(such as designing project for efficient water use and eliminating water wastage), encouraging the use
of renewable building materials, lower energy use, increase in value management practitioners,
encourages construction waste management and increased costs associated with disposal of waste. It is
very important that various construction stakeholders have good knowledge and adequate awareness of
these environment factors. This will not only reveal the benefits associated with sustainable
construction practices, but encourage greater procurement of sustainable building and infrastructures.
Keywords: construction industry, environmental factors, sustainability, South Africa38
1Post-doctoral Fellow; Department of Construction Management and Quantity Surveying, University of Johannesburg, South
2Associate Professor; Department of Construction Management and Quantity Surveying; University of Johannesburg;
University of Johannesburg, South Africa; [email protected].

3Graduate Student; Department of Construction Management and Quantity Surveying, University of Johannesburg, South
Africa
385
1. Introduction
Sustainable development has become important subject worldwide. As a result, the concept is receiving
an increasing attention in different facet of human activities including construction (Ugwu and Haupt,
2007; Okoye and Okolie, 2013; Saleh and Alalouch, 2015; Elmualim and Alp, 2016). Notwithstanding,
the increased attention and importance placed on sustainable development globally, the implementation
of its concept remains a challenge in South Africa (Emuze et al., 2015). Over the last few decades, there
has been a significant increase in the global environmental awareness (Elmualim and Alp, 2016). The
global environmental awareness arises from the emergennce of environmental problems including
climate change, water problem, global warming, energy problem, habitats loss, deforestation,
degradation, pollution, ozone layer depletion among others. These problems have resulted in the global
call for radical shift towards environmental responsiveness (Emuze et al., 2015; Asif, 2016). In order
to alleviate the impact of these environmental problems, sustainability was identified as an important
concept which should be incorporated in all human activities (Sourani and Sohail, 2005; Asif, 2016).
In line with this call, several countries around the globe have long embraced the concept of
sustainability. For instance, the United Kingdom (UK) construction industry promoted the
understanding and awareness of sustainable construction. They had strategies in place which support
more sustainable development especially sustainable construction (ICE, 2015). In addition, the
construction industry is expected to play a very significant role in the mitigation of environmental
problems. This is because the building and construction sector accounts for more than 40% of energy
and material consumption and also generates a huge amount of waste from its activities (Elmualim and
Alp, 2016; Oke et al., 2017). In fact, the built environment industry is found to be mostly responsible
for the environmental pollution (OECD, 2013). Unfortunately, the form of construction development
in the past ignored the reality of natural resources and environmental issues (Emuze et al., 2015). This
neglect results in a lot of consequences inform of environmental degradation, economic downturn,
pollution etc and these consequences have significant impact on the environment and the quality of life
of people. All these points attention to the urgency of environmental sustainability interventions.
While there have been remarkable advances towards the achievement of sustainable development in
South Africa, the reality is that there is still much to be attained (Department of Environmental Affairs
and Tourism, 2008). In addition, the implementation of sustainable construction still faces a lot of
challenges in South Africa (Emuze et al., 2015). Thus, in line with the urgent need to promote the
concepts and implementation of sustainability in South Africa, this study investigates the environmental
sustainability dimensions that can influence the promotion of sustainable construction ideas in the South
African construction industry.
2. Environmental Challenges and Need for Environmental Sustainability

Dimensions in South Africa
Globally, the construction industry carries out a vast number of construction activities yearly. The
industry uses a lot of natural resources including energy, raw materials, land and water in the operation
of its activities (Elmualim and Alp, 2016). The industry similarly consumes a huge volume of natural
and non-renewable resources which engender wastes that are potentially hazardous and cause
environmental pollution (Asif, 2016; Nwokoro and Onukwube, 2011). Thus, the construction industry
has been unarguably recognised as the largest pollutants, most hazardous industry and destroyer of
386
natural environment (Okoye, Okolie, 2013; Wallbaum and Buerkin, 2003; Wooley, 2000). Literature
reveals, that both the building and the construction sector contribute significantly to global warming
which happen to be one of the major challenges facing the entire world today (Asif, 2016). Moreover,
there are carbon emissions from the construction activities. This carbon emission further added to the
rapidly increasing global warming and weather variations (Kolev, 2009). All these pose serious threats
to the global ecosystem and also it also has serious impacts on human life, the environment and socio-
economic development (Oke et al., 2017; Muneer et al., 2008). These negative impacts have become
an issue of serious challenge to the global environment. Unfortunately, the traditional procurement
practices are observed to be deficient in providing the needed solution to these serious challenges. As a
result, several researchers have stressed the need for grave attention being given to resources
consumption through radical shift in human practices (Asif, 2016). Thus, the call for sustainable
development in construction has been loud and clear worldwide (Hussin et al., 2013). Ofori (2007)
emphasised the need for the global construction sector to be familiar with sustainable development and
transforming its traditional structures into modern sustainable construction. For this to be achieved,
there is need to first identify the prevailing situation within a particular community and best approach
to providing a sustainable building environment. At the 2002 World Summit on Sustainable
Development (WSSD), it was agreed that the greatest challenge facing South Africa was dealing with
poverty. As such, social equity, intergenerational equity, efficient use of resources, human welfare and
sustainable living were the core of the implementation plan during the summit. In order to promote the
sustainability thinking in South Africa, this study investigates the environmental factors that can
promote the sustainability ideas in the South African construction industry.
3. Environmental Sustainability Elements
According to Yilmaz and Bakis (2015), environmental sustainability signifies handling of natural
resources to future generation without destruction. It involves protecting ecological balance and saving
in consumption of unrenewable resources. For this to be achieved, some researchers have emphasised
the need to start utilising sustainable building practices on construction projects procurement
(Koranteng, 2010; Asif, 2016). Ashiboe-Mensah et al. (2011) as well as Koranteng (2010) point out
the need for the adoption of energy efficiency and sustainable materials. In line with these, Yilmaz and
Bakis (2015) likewise noted that environmental sustainability requires sensitivity and should focus on
subjects which include: (i) protection of aliveness and diversity on the earth; (ii) conservation of live-
support system; (iii) sustainable usage of renewable resources; (iv) being saving in using unrenewable
resources; (v) minimising harm to the environment and living things; and (vi) protection of cultural and
historical environment. The importance of environmental sustainability cannot be over emphasised as
such, several tools to promote sustainable building practice, in the area of design and construction, have
been developed throughout the world. In South Africa, government has made effort to establish policy
in support of environmental sustainability. A notable one is the establishment of SANS 204 which sets
out the general requirements for achieving energy efficiency in all types of new buildings, both for
naturally ventilated buildings and for artificially ventilated buildings. Several researchers have
examined different elements\dimensions which environmental sustainability should cover. Sourani and
Sohail (2005) provided an extensive review of the criteria underpinning the environmental dimensions
of sustainable construction through a synthesis of the relevant literature. According to them,
environmental sustainability cut across different dimensions including: energy, water, land and material
conservation; resource utilisation; minimisation of water, land and air pollution; encouraging renewable
energy; preserving and enhancing bio-diversity; creating a healthy, non-toxic environment – including
387
high indoor air quality; protecting and enhancing sensitive landscapes including scenic, cultural,
historical and architectural, reuse existing built assets; waste minimisation and management;
environmental impact; visual impact and transport – including provision of public transport. In order to
give the world to future generation without destruction, adequate attention needed to be given to all
these environmental elements. It is on this basis that this study focus on investigating the environmental
sustainability dimensions that can actually influence the promotion of sustainable construction ideas in
SA.
This study employed a quantitative research method. The research was conducted in the Gauteng
Province of South Africa (SA). The Gauteng province was selected because it is widely recognised for
its dynamic economic and social circumstances. For example, it is the only province which contributes
(34%) more than one third of total Gross Domestic Product (GDP) of South Africa in 2014. Thus, the
province has long been recognised as the fastest growing and richest province of SA (The Real
Economic Bulletin, 2016). The targeted respondents were the construction professionals within the
Gauteng province and they were selected through convenience sampling techniques. These respondents
as shown in Table 1 are construction professionals including quantity surveyors, construction/project
managers, architects and engineers that are usually involved in construction projects within Gauteng
province. Table 1 indicates the demographic analysis of the respondents. The analysis revealed that the
respondents have considerable experience within the construction industry and are involved at both
private and public construction sectors. They also worked in consulting firms, contracting firms as well
as in government establishment. Within the past three years, 39.6% of the respondents were involved
in 1-4 projects, 22.5% were involved in 5-6 projects, while 17.1% were involved in 7-8 projects and
20.7% were involved in more than 8 projects. The objectives of this study were achieved using
questionnaire survey which attracted one hundred and eleven (111) responses. A thorough review of
the relevant literature was carried out to identify the environmental factors that have great potential of
influencing the sustainability ideas in the construction industry. A total of seven factors were
highlighted and documented in Tables 2. These factors were presented in questionnaire form which
attracted (111) one hundred and eleven responses. There are two main parts within the questionnaires.
The first part was the introductory section while the second section deals with the ranking of the
identified environmental factors. The professionals were requested to rank their perception of the factors
on a 5 point Likert scale comprising effect level of strongly disagree =1, disagree = 2, neutral = 3, agree
= 4 and strongly agree 5. The mean score (MS) for each variable was established and ranked from
highest to the lowest as shown in Table 2. An hypothesised mean of 3.0 was used as relevant level
determinant as used in some earlier studies (Coakes and Steed, 2001). This was determined by adopting
the mid-point value of the index (1+2+3+4+5/5=3). This implies that all scores above 3 are significant
while scores below 3 are insignificant Thus, a factor is considered relevant if it has a mean item score
of 3.0 or more.
388
Table 4: Demographic data of the respondent
Frequency Percentage %
Profession of the respondents
Engineers 24 21.60
Quantity surveyors 29 26.10
Construction/project managers 36 32.40
Architects 22 19.90
Working experiences
1-5 years 30 27.10
6-15 years 45 40.50
Above 16 years 36 32,40
Construction Industry Sector
Private 23 19.82
Public 14 11.71
Consultants 34 29.79
Contractors 24 21.62
Government 19 17.12
Sustainability is a multi-dimensional concept (Sourani and Sohail, 2005). Due to its complex nature it
has been viewed in different dimensions as revealed under the literature review section (Sourani and
Sohail, 2005; Nwokoro and Onulwube, 2011). This paper as aforementioned mainly focused on the
environmental dimension. Seven environmental dimensional factors that can influence the promotion
of sustainable construction thinking in the South Africa construction Industry were extracted from
literature as depicted in Table 2. Based on factors identified from the review of literature, the
respondents were asked to rank these potential environmental sustainability dimension factors. The
mean item score technique was adopted in this study. The ratings given by each of the respondents were
calculated to arrive at a mean score for each of the listed factors. The mean scores were ranked from
highest to the lowest and was used to determine whether the respondents considered a particular factor
to be potential sustainability influencing factor or otherwise. In order to provide a clearer picture of the
respondents’ perceptions, the mean ranking of each factor is also shown in tabular form in Tables 2.
Table 2: Environmental dimension impacting sustainable construction practices in construction

project execution
ENVIRONMENTAL DIMENSIONS MIS SD RANK
Reduction of potential pollution 4.24 0.834 1

Efficient use of water during construction 4.23 0.774 2
Encouraging the use of renewable building materials 4.23 0.735 2
Lower energy use 4.22 0.756 3
Increase in value management practitioners 4.20 0.724 4
Encourages construction waste management 4.18 0.777 5
Increased costs associated with disposal 4.12 0.806 6
From findings as shown in Table 2, all the identified factors have great potential to influence the
sustainability ideas in SA as all the factors have mean score above the hypothesised mean score of 3.0.
389
Based on the ranking, reduction of potential pollution with a mean score (MS) of 4.24, efficient use the
use of water during construction with a mean score of 4.23 and encouraging the use of renewable
building materials with a mean score of 4.23 ranked the three most important environmental factors that
can promote the sustainability idea in South Africa. This finding is very interesting and it is agreement
with some previous work on sustainability environmental dimensions. For instance, the construction
industry is considered the major user of natural resources (Oke et al., 2017). Its activities have
significant consequences on the environment. These consequences come in the form of environment
degradation, air and environmental pollution, energy problem, habitats loss, deforestation, ozone layer
depletion just to name a few. Regrettably, the traditional procurement practices are noted to be deficient
in providing the needed solution to these environmental challenges (Asif, 2016). Moreover, most people
are not serious about environmental protection on construction site (Chan, 2000). Thus, several of the
construction activities result in serious air pollution. As such the industry becomes the main source of
an urban air pollutants (Chan, 2000). Recognising, the fact that sustainable development can enhance
better environment and lead to reduction in the environmental pollutions is actually capable of
promoting sustainable construction ideas within SA. Hussin et al. (2013) noted that developing a new
building involve quarrying to provide aggregates, extensive use of water in the production process and
the wide use of toxic and chemical materials. All these accumulate and disrupt our environment, thus it
is very important to reduce material intensive through the substitution technology and this is main
purpose of environmental sustainability. Examining further into the findings in this study, maximizing
the sustainable use of renewable resources was found to be of great import because it will lead to
material efficiency. Material efficiency could be achieved by reducing the material demand for non-
renewable goods and embracing the principles of 3R which are reduce, reuse and recycle. Other factors
which are considered important to promote sustainability dimension in SA include lower energy use,
increase in value management practitioners, encourages construction waste management, and increased
costs associated with disposal. Emuze et al. (2015) has noted that the initial cost of procurement
associated with sustainable construction is a significant barrier to its implementation in South Africa.
Notwithstanding, the knowledge that the sustainable construction has a lot of benefits including,
reduction in the cost of waste management and also the reduction in the increased cost which is
associated with waste disposal can make some construction stakeholders to rethink and embrace
sustainable construction.
It is essential to recognise that, although the order in which the seven identified environmental
dimension factors are evaluated by the respondents indicate priorities on the level at which they promote
sustainable ideas, the mean score of each of the factors shows that all the identified factors are
significant. This is because all the identified factors have very high mean scores and the mean scores
are close to each other. This implies that environmental dimensions that can influence and promote
sustainability ideas in the SA construction industry is a combination of all these identified factors. Thus,
all the seven environmental factors identified in this paper are perceived by the professionals to be very
important in promoting sustainable construction in South Africa. It is necessary to note that for any
country to implement sustainable construction successfully, awareness creation is very important. This
awareness must be thorough and adequate. The importance and benefits of sustainable construction
must be made known to all construction stakeholders as well as the general public. The concept must
be clearly stated and adequate explanation should be provided for proper understanding by the public.
Thus, interactions with all the construction industry professionals to discuss the need to adopt more
sustainable approaches within the industry practices need to be stressed. Taking into consideration all
the key sustainability dimensions that influence the promotion of sustainable construction thinking and
390
how it affects quality of lives of people and environment. Professionals should be made aware of
consequences of continuing in the traditional way of procurement and how not practicing sustainable
construction could affect the national and economic development of a country.
6. Conclusion
The concept of sustainable development has become vitally important subject worldwide and is gaining
wider attention in the built environment. Notwithstanding, the implementation and application of its
concept is still a challenge in South Africa. Thus, this paper investigated the important environmental
factors that can influence the promotion of sustainable construction ideas in the South African
construction industry. Seven factors were identified from the literature and were investigated. From the
obtained results, all the identified factors were found to be important. These factors include, reduction
of potential pollution, efficient use of water during construction, encouraging the use of renewable
building materials, lower energy use, increase in value management practitioners, encourages
construction waste management, and increased costs associated with disposal. It is very important that
various construction stakeholders have good knowledge and adequate awareness of these environment
factors. This will not only reveal the benefits associated with sustainable construction practices, but
encourage greater procurement of sustainable building and infrastructures. Thus, there is need for the
construction industry, policy makers and all other relevant stakeholders to take note of all the identified
environment factors that can impact sustainability ideas and embrace them in order to advance the
concept of sustainability and sustainable development in SA.
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393
DII-2017-058
Towards Optimising the use of Quarry Dust in Concrete

Production in Zambia
Michael N. Mulenga1, Joseph Shikabonga, Kaluba Chisanga, Charles Silungwe,

Mulyata Hamaundu
Abstract
Over the years, the construction industry in Zambia has been rapidly growing and this has resulted in
shortages of some construction materials. One such material is River Sand, which is used as a fine
aggregate in concrete production. This has resulted increased use of quarry dust as a substitute to river
sand, as a fine aggregate. However, no guidelines exist on the replacement of River Sand in concrete
production. There is a clear depletion of river sand sources and degrading of river banks. This in turn
has led to river bank erosion, triggering environmental problems such deepening of the river beds, loss
of vegetation on the river banks, disturbance of aquatic life and agricultural activities, as well as posing
a danger to river crossing infrastructure such as culverts and bridges. Two studies were conducted at
the University of Zambia: aComparative Study of Concretes Produced by Natural Fine Aggregate and
Quarry Dust, and, Partial Substitution of Quarry Dust as a Fine Aggregate in Concrete Production in
Zambia. The first study aimed at making recommendations on the full replacement of river sand with
quarry dust in concrete production whilst the second focused at determining suitable partial substitution
of quarry dust in the production of concrete. It was established that Quarry Dust offered some
advantages such as; better gradation and higher rate of compressive strength gain compared with river
sand. This can offer advantages like speeding up repair and maintenance works. Further, from the
second study, a 50% substitution of river sand in the fine aggregate produced the best results.
Keywords: compressive strength, concrete, quarry dust, river sand

39
1. Introduction
Concrete is made up of three basic components; water, aggregate (fine aggregate or sand, crushed rock,
or gravel) and Portland cement. Cement, usually in powder form, acts as a binding agent when mixed
with water and aggregates. A chemical reaction known as hydration follows and the concrete hardening
process continues over a long period of time. However, most of the hardening takes places over 28 days.
The properties of both the wet and dry concrete depend on a number of factors: properties of constituent
materials, mixing proportions and consistency of mixing, curing conditions, and testing methods and
procedures. Additives may be added to wet concrete in order to impart certain properties. River sand,
mostly obtained from river banks, has traditionally been used as fine aggregate in Zambia. Since river
sand is subjected to years of abrasion and washing, its particle shape is more or less rounded and smooth.
It tends to have a low silt and clay contents thus improving concrete properties such as workability
while reducing the water demand during the mixing process to produce concrete (Richardson 2005).
With increasing cement concrete construction activities, Zambia has been experiencing an increased
1Lecturer; Department of Civil and Environmental Engineering, University of Zambia; [email protected]
394
use quarry dust rather than of river sand as fine aggregate. The traditional use of river sand has led to
the depletion of river sand sources and degrading of river banks. This in turn leads to river bank erosion,
triggering environmental problems like deepening of the river beds, loss of vegetation on the river
banks, disturbance to the aquatic life as well as agriculture due to lowering the water table in the well
and others. As noted by Muhammad et al. (2011), physical impacts of sand mining include reduction
of water quality and destabilization of the stream bed and banks, disruption of sediment supply and
channel form (incision and sedimentation). Channel instability and sedimentation can lead to damage
to public infrastructure such as bridges, pipelines, and other utility lines. Biological impacts may lead
to removal of infauna, epifauna, and some benthic fishes and alteration of the available substrate.
Balamurugan and Perumai (2013), in their research, have also recognised the need for developing
countries to conduct extensive search to identify alternative materials to replace the demand for river
sand. Therefore, many construction industries of developing countries have identified Quarry dust as a
suitable substitute for fine aggregate in concrete production, hence the need to optimise its use in
concrete production. Quarry dust is a by-product of stone crushing units. In terms of grading, it is
generally material passing the 4.00 to 4.75mm sieves. Although in some cases it may be considered a
waste product, it is actually a resource in the production of concrete. Quarry dust has been used for
different activities in the construction industry such as road construction and manufacture of building
materials such as light weight aggregates, bricks, pavours, and tiles. Lohani et al. (2012) have indicated
that crushed rock aggregates are more suitable for production of high strength concrete compared to
natural gravel and sand.
In Zambia, there has been an increase in the use of quarry dust in concrete production, but
limited research on the optimisation of the use quarry dust, to help in establishing guidelines
on the use of quarry dust in concrete. Due to this lack of guidance on the use of quarry dust,
two studies were conducted at the University of Zambia on the substitution of river sand with
quarry dust as the fine aggregate in concrete. The first study was aimed at making
recommendations on the full replacement of river sand with quarry dust in concrete production
(Silungwe, 2015). The second was aimed at determining suitable partial substitution of quarry
dust in the production of concrete (Hamaundu, 2016). Silungwe’s (2015) and Hamaundu’s
(2016) studies were conducted in Lusaka, where most concrete construction activities take
place. In Lusaka, there are several quarries established to produce aggregates for various
applications and quarry dust is produced as a by- product. The production at these quarries is
all year round. On the other hand, the main source of River Sand is Kafue, located about 60 km
south of Lusaka. River sand mining is centred on the Kafue River and the supply of river sand
gets constrained especially during the rainy season. This is due to the transportation challenges
by trucks as trucks get stuck in accessing the Kafue River bank. Although the study was conducted
in Lusaka, similar situations are being experienced in most industrial cities of Zambia.
2.1 Research around the world
Production of massive quantities quarry dust is worldwide. According to Patel and Shah (2015), about
20 to 25 per cent of the total production in each crusher unit is left out as the waste material-quarry
waste. The quarry waste is in form of powder, of size below than 90 micron. In India, annual production
of quarry waste is 20 Million Tonnes (Patel and Shah, 2015). Tables 1 and 2, respectively, summarise
typical physical and chemical properties of quarry dust.
395
Table 1: Physical properties of quarry waste
Property Value
Specific Gravity 2.54
Bulk Density 1735 kg/m3
Water absorption 1.2 %
Moisture Content 0.0 %
Fineness Modulus (FM) and Zone 2.5, Zone 2
Source: Patel and Shah (2015)
Table 2: Chemical properties of quarry waste

Property Percentage (%)
Silica 62.80
Aluminium Dioxide 18.72
Ferric Oxide 6.54
Magnesium Dioxide 2.56
Calcium Dioxide 4.83
Sodium Oxide 0.00
Pottasium Oxide 3.18
Source: Patel and Shah (2015)
2.2 Summary of literature review
Extensive research on partial substitution of river sand with quarry dust has been conducted, especially
in India. The research indicated gain in concrete compressive flexural, split tensile strengths with
increased quarry dist content, to a maximum of 50%. Beyond 50%, reductions in strength and
workability have been recorded. It has been demonstrated that the use of quarry dust brings about
desirable effects, in terms economic and environmental issues. However, maximising on the desirable
properties requires specific in depth research on the particular quarry dust. In Zambia limited studies
have been conducted establish some of the properties of quarry dust and to determine how suitable they
are to enable it to be used as partial replacement for sand in concrete production. Standards and
guidelines on the use of quarry dust have not yet been developed. Tables 3a and 3b summarise selected
literature review of research on replacement of river sand in concrete production, India and elsewhere.
3. Experimental Work in Zambia

3.1 Full substitution of fine aggregate with quarry dust
This study made comparisons on the properties of concretes produced by natural fine aggregates and
quarry dust in C20 and C25 grade concretes. Various tests on the constituent materials were conducted
and they included: Aggregate Crushing Value (ACV), fineness modulus, organic content, sieve
analysis, specific gravity, water content, and water absorption. The concrete mixes were designed and
produced in the laboratory. The fresh and hardened concrete was tested for workability and compressive
strength, respectively.
It was found that the full replacement of river sand with quarry dust gave slightly better results. The
study concluded that if full replacement of river sand with quarry dust for C25 and C20 grade concretes
was done, the produced concrete had better workability, strength and rate of strength gain at various
ages of curing. It also showed a better correlation between compressive strength and density. However,
further studies on natural fine aggregate substitution with quarry dust for various concrete grades is
required.
396
Table 3: Summary of research findings on replacement of sand by quarry dust
Author and Country Percentage Major findings
replacement
G Balamurgan and P 10, 20, 30 and At 20% and 30% replacement, the 28 day compressive strength increases were
Perumal (2013), India 100% 8.01 and 13.99%, respectively.
When tested at 100oC after 28 days, at 10, 20 and 30%, the corresponding
increases in compressive strength were 0.53%, 3.61 % at and 4.18%,
respectively.
Ashish B. Ghogare and 0%-50% Quarry dust at 25% replacement increased compressive strength but beyond
P. P. Saklecha (2015), 35% strength and workability decreased.
India 10% substitution resulted in increased compressive, flexural strength and
durability
Maina Simon Karanja 25, 50, 75 and Compressive strength gain for quarry dust replacement up to about 25%
(2010), Kenya 100% Beyond 25% to 100% replacement, strength decrease at both for 7 and 28 days.
At 75% replacement, compressive strength ≈ 0% replacement
Manguriu, G.N et al 20, 40, 60, 80 and Natural sand (RS) replacement of 20, 40, 60, 80 and 100 % resulted in
(2013), Kenya 100% on C20 compressive strength gain of 4.89, 0.0, -9.33, -15.11 and -37.33%,
Concrete respectively.
Best results at 20 % replacement.
Aginam C. H. et al 0-25% Quarry dust up to 25% for one brand cement and up to 15% for another brand,
(2016), India resulted in increased compressive strengths.
Rajapaksha and H P 10-30% Replacement of 10-30% with quarry dust consistently increased compressive
Sooriyaarachchi (2009), strength, but lowered the workability of the mixes.
Sri lanka
Martins Pilegis, (2014), Plasticised and non- MFA gradings containing 5-7 % fines optimal for handling, placing and
UK plasticised concrete finishing of MFA concrete, in the abscence of clay particles.
mixes Adequate concrete could be produced with 100% MFA as sole fine aggregate
R. Ilangovana, N. 100% for M20, Increases in the 28day compressive strength of 11.26%, 11.36% and 3.63%,
Mahendrana and K. M30 and M40 respectively.
Nagamanib (2008),
India
Mohammad Iqbal 0-40% Increase in 28day compressive strength, decrease in workability.
Malik et al (2015) Optimal strength at 30%.
Ephraim M. E.1 and 20% on Concrete With 20% sand replacement, 28d, compressive strength increased by 10 to 12
Rowland-Lato E. O. Grades 20, 30 and
(2015), Nigeria 40
Lalit Kumar and 25, 50, 75 and Gain in compressive, flexural and slit cylinder strength.
Arvinder Singh (2015) 100% substitution For 25 and 50%, gain in compressive strength of 8 to 10%.
on M25 and M30
Concrete.
3.2 Partial substitution of fine aggregate with quarry dust
This was a follow up study to the previous cited study. Various substitutions of river sand and concrete
grades were explored. Tables 4 to 8 summarise aggregate properties and concrete mixes.
Table 4: Fine Aggregates Sources

Material Type Source
River sand Kafue
Quarry dust Lions quarries
Quarry dust United quarries
Quarry dust Oriental quarries
397
Table 5: Cement and Coarse Aggregate Sources
Material Type Source
Cement (Mphavu) Lafarge
Coarse aggregate United quarries
Table 6: Physical properties of coarse and fine aggregates

Specific Gravity Fineness Modulus Moisture Content Water Absorption
Material (%) (%)
Lions quarry dust 2.62 2.85 0.5 1.2
Oriental quarry dust 2.65 2.79 0.54 1.3
United quarry dust 2.64 3.24 0.56 1.3
River sand 2.66 3.11 0.61 1.4
United Quarries (Coarse aggregate) 2.41 - 0.45 0.8
Acceptable 2.3-2.9 2.3-3.1 (ASTM - 0.5-4.0
Limits (ASTM C33) C33) (ASTM C33)
Table 7: Organic Content of Aggregates

Sample Average Volume titrated mg/l (or ppm)
Blank 20.8
River Sand 19.6
Quarry Dust 21.35
Table 8: Concrete Mix ratios

Grade of concrete Concrete mix ratio
M25 1: 2.4: 3.1: 0.65

M20 1:2.8:3.54:0.65
M15 1: 3.1: 4.1: 0.65
Figure 1 shows the grading characteristics for the fine aggregates, whilst Figures 2 to 4 show the
variation of compressive strength with substitution of river sand for concrete grades 15, 20 and 25,
respectively. Figure 5 shows the variation of workability with substitution of river sand for the various
concrete grades.
Figure 1: Particle size distribution of aggregates from various sources
398
Figure 2: Grade 15 concrete strength with age percentage substitution
Figure 3: Grade 20 Concrete Strength with Age Percentage Substitution
Figure 4: Grade 25 Concrete Strength with Age Percentage Substitution
399
Slump vs River Sand Content
15
Slump (cm)
10
5
0
0% 25% 50% 75% 100%
River Sand Content (%)
M25 M20 M15
Figure 5: Variation of Slump with River Sand Substitution

Specific gravities, fineness moduli, and water absorption of the aggregates were within the required
range of 2.3 to 2.9, 2.3 to 3.1 and 0.5 to 4.0, respectively, according to ASTM C33. The ACV values of
the coarse aggregates were found to be below 30% with acceptable elongation and flakiness
requirements. The percentages of the organic contents were found to be below the maximum organic
content requirement of 3% for fine aggregates. Similar limits may also be found in other comparable
standards such as EN and ISO. Therefore, it could be concluded that the materials used for the research
met the requirements for their use.
From the results of the compressive strength tests it was noticed that the samples that had 50% river
sand and quarry dust content had the highest strength at 28days, with gain in strength of 7.2 to 10.8%.
Similar results were obtained in terms of split cylinder test results. This is because at this river sand /
quarry dust combination led to a well graded material or better packing in the concrete matrix.
In terms of workability, it may be observed that beyond 50% substitution of river sand, the workability
(slump) decreased.

5.1 Conclusions
Extensive research on partial substitution of river sand with quarry dust has been conducted, especially
in India, aimed at establishing gain in concrete compressive flexural, split tensile strengths with
increased quarry dust content. Increased strengths have been established up to a maximum 50%
substitution of river sand. Substitutions of the order of 35% gave the best results. Beyond 50%,
reductions in strength and workability have been recorded. It has been demonstrated that the use of
quarry dust brings about desirable effects, in terms economic and environmental issues.
In Zambia, limited studies have been conducted establish some of the properties of quarry dust and
partial replacement for river sand in concrete production. A 50% substitution produced the best
compressive strength gains, of 7.2 to 10.8% for concrete grades 15 to 25 MPa for quarry dust in Lusaka.
Beyond 50% substitution, a reduction in workability was observed.
400
5.2 Main Recommendation on Partial substitution in Zambia
Based on the above study, a partial substitution of 35 to 50% of river sand may be used, to ensure gain
in strength and reasonable workability.
5.3 Recommendation for future research

The previous studies were conducted in Lusaka and clearly there is need to extend the beyond Lusaka.
The specific recommendations are:
 Research on partial substitutions should be extended to other regions of the country
 Professional Bodies should spearhead the preparation of standards and guidelines on the use
Quarry dust in Zambia and in the sub-region.
References
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Aggregates in Concrete Production, IOSR Journal of Mechanical and Civil Engineering (IOSR-JMCE)
e-ISSN: 2278-1684,p-ISSN: 2320-334X, 13(1): 65-73.
Balamurugan, G. and Perumal, P. (2013). Behaviour of Concrete on the Use of Quarry Dust to Replace
Sand – An Experimental Study. International Journal of Scientific and Research Publications, 3(12)
ISSN 2250-3153
Ephraim, M. E. and Rowland-Lato, E. O. (2015). Compressive Strength of Concrete Made with Quarry
Rock Dust and Washed 10mm Washed Gravel as Aggregates, American Journal of Engineering,
Technology and Society, 2015; 2(2): 26-34, Published online April 10
Ghogare, A. B. and Saklecha, P. P. (2015). Analysis and Checking of Stone Dust As A Replacement
Material Of Sand, International Journal of Pure and Applied Research In Engineering and Technology
A Path For Horizing Your Innovative Work pecial Issue For National Level Conference "Sustainable
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in Zambia, B.Eng Final Year Project Report, 2016
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Concrete containing Quarry Rock Dust ss Fine Aggregate. Journal of IJSER, Volume 3,October 2008,
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(IJRASET), 3(1). ISSN: 2321-9653
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replacement of sand in concrete, International Journal of Applied Sciences and Engineering Research,
Vol. 1, No. 2, 2012, www.ijaser.com, Research article ISSN 2277 – 9442
401
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Properties of Concrete, BSc Thesis, University of Nairobi, Kenya
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PhD Thesis, Cardiff University, UK
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402
DII-2017-049
Waste Control and Management System in Polokwane
Capricorn Municipality District of South Africa
Modupe Cecilia Mewomo1, Clinton Ohis Aigbavboa2, Molebogeng Rozyne

Maja3
Abstract
The management of waste generated from the construction activities is a critical issue requiring serious
and adequate attention. Construction waste constitutes nuisance to the construction environment and
could lead to negative public impression of the construction industry as well as poor project
performance, if not properly managed. Thus, this paper investigates the measures that can be taken for
effective management of construction waste in the Polokwane municipality of South Africa. Data were
collected using a questionnaire design. The targeted respondents were the contractors who are involve
in various types of construction activities in Polokwane. Based on factors identified from the review of
literature, the respondents were asked to rate the methods and measures that can be adopted for the
effective control of construction waste in Polokwane. A total number of 44 questionnaires were
obtained and were analysed using statistical package for the social sciences (SPSS). Mean value was
used to determine the level of significant of each identified factor.The study revealed fifteen measures
that could be put into consideration for effective waste management system in Polokwane. These
measures include, on site management systems, implementation of environment management system,
implementation of a waste reduction framework plan, standardization of design to improve buildability,
reduction in quantity off-cuts, waste auditing to monitor and record environmental performance on-
site, provision of an on-site sorting facilities, controlling land fill area, legislation control, stock control
measures, quantities flexibilities measures, education and awareness measures, just-in-time delivery
measures, penalty for poor site waste management and employment of specialist waste managers. The
adoption of these measures would go a long way in enhancing efficient construction project
performance in Polokwane District of South Africa.
Keywords: construction waste, waste control, waste management, Polokwane, South Africa
40
1Post-doctoral fellow; Department of Construction Management and Quantity Surveying, University of Johannesburg, South
2Associate Professor; Department of Construction Management and Quantity Surveying; University of Johannesburg;
University of Johannesburg, South Africa; [email protected].

3Graduate Student; Department of Construction Management and Quantity Surveying, University of Johannesburg, South
Africa
403
1. Introduction
Waste generated during different stages of construction activities is one of the serious problems in
construction industry at large (Nagapan et al., 2011). The construction waste constitutes nuisance to the
construction environment and also lead to negative public impression of the construction industry
(Adewuyi and Odesola, 2015). Moreover, poor planning and inadequate control of these construction
waste lead to poor project outcome and poor project performance in the construction industry
(Jayamathan and Rameezdeen, 2014). Thus, there has been serious concern about the volume of waste
generated in the construction industry (McDonald and Smithers, 1998). One of the major problem of
construction waste is the poor manner at which the waste generated from the construction activities are
being handled. For instance, the report of Gauteng Department of Agriculture Conservation and
Environment (GDACE, 2009) reveals that the majority of construction waste in Gauteng province of
South Africa is being disposed of either illegally or to landfill. This action has a serious potential
environmental impact on the country and all relevant stakeholders. Some notable consequences of
illegal dumping and disposal to landfill include environmental degradation, poor public image of
construction industry, increase demand for landfill, pollution, resources and material loss among others
(GDACE, 2009). While it is true that, it is impossible to completely avoid construction waste, proper
control and effective management of these waste are very necessary (Teo and Loosemore, 2001). It is
on this background that this study investigates the measures that can be put in place for the effective
waste management practice in Polokwane district of South Africa.
2. Construction Waste and its Impacts on the Environment
The construction industry plays an important role in the growth of any national economy and contributes
meaningfully to the development of relevant stakeholders. Notwithstanding its importance, the industry
has particularly been noted for its contribution to environmental degradation not only in South Africa
but also in most other countries across the globe (Ali et al, 2014). The impact of the construction
industry in terms of the resources it consumes and the waste it generates has been widely acknowledged
(Tam, 2007, GDACE, 2009). Literature reveals that 50% of municipal solid waste in developing
countries comes from construction (Lu and Yuan, 2011). In fact, more than 50% of waste entering land
fill in the United Kingdom (UK) originates from construction (Ferguson et al., 1995). Similarly,
research reports from Australia reveals that 44% of the total waste being deposited in landfilled annually
is coming from the construction industry (McDonald, 1996; Craven et al., 1994) In South Africa,
although there is limited published information on the composition and volume of construction waste
generated at different provincial level, the observations have shown that construction and demolition
sites generate substantial commingled wastes (Purnell, 2009, GDACE, 2009). For instance, the reports
of the Department of Agriculture Conservation and Environment on the waste generated in the Gauteng
Province of South Africa shows that 20% of waste generated within the province arise from building
demolition and construction waste. The report further indicates inter alia that approximately one quarter
(25%) of waste entering landfills are building and demolition waste. Unfortunately, based on an analysis
of waste generation in nine South African provinces, there is an indication that waste generation
continued to increase in all provinces over the last decade (SAEO) (South Africa Environment Outlook,
2012). The increase volume of construction waste generation has attracted considerable attention in the
recent times (Lauritzen, 1998; Ali et al, 2014). The major concern lies on the fact that most of the waste
generated from construction ends up in landfills or at times illegally dumped (GDACE, Gauteng
Department of Agriculture Conservation and Environment, 2009). Thus the increase in the amount of
404
waste generated and the lack of appropriate waste control and management system has become an issue
of major concern in all countries including South Africa and Polokwane Municipality (Ikau et.al., 2016;
Jawad and Omar, 2016, SAEO, 2012). The official country problem statement according to the National
Waste Management Strategy (NWMS) (Department of Environmental Affairs 2012) has highlighted 10
major challenges faced by South Africa in the waste management field. According to this reports, the
major challenges include, the increase in the population has resulted in increased volumes of waste
generated, the increased complexity waste stream due to industrialization, Inadequate waste services
lead to unpleasant unhealthy environment; policy and regulatory environment that does not actively
promote the waste management hierarchy, growing pressure on outdated waste management
infrastructure, with declining levels of capital investment and maintenance among others. The increase
in construction activities usually leads to increase in the waste generated from construction. Thus, it is
expected that all effort should be put in place for effective management of the waste produced. Several
consequences accompany ineffective waste management system notably are the fact that it leads to
environmental degradation, encourages further dumping which aesthetically degrade the landscape,
increase pollution, reduction in the amount of natural resources and increase burden on scarce land
resources GDEAC, 2009). Having realised that construction waste constitutes nuisance to the
construction environment and could lead to negative public impression of the construction industry as
well as poor project performance, the need for comprehensive strategies to reduce waste through more
efficient planning and good management system becomes very necessary.
3. Strategies for Controlling Construction Waste
Strategies for controlling construction wastes have been the subject of several research projects. As
identified from previous studies, most of the problems concerning waste on building are related to flaw
in management system (Formoso et al., 1999). Thus there has been several calls for effective waste
management. Waste management encompasses collection, transporting, storage, treatment, recovery
and disposal of waste (Hwang, 2011). It involves waste minimisation and effective waste control
strategies. According to Ferguson et al. (1995) there are three waste minimisation strategies that can be
used on construction projects. These are, reduce, reuse and recycle. El-Haggar (2007) developed waste
management hierarchy framework and noted that waste management plan involves five steps which are
reduce, reuse, recycle, recover and disposal. The benefit associated with the adoption of this framework
include cost saving, reduction in the demand for landfill, construction industry image improvement,
productivity and quality improvement, and better resource management (Hwang, 2011). Poon et al.,
(2004) emphasised the need to adopt certain measures in order to reduce waste. He further noted the
need to implement measures at the planning and construction stages in order to avoid and minimise
waste generation. Such planning includes preparation of a detailed waste management plan as well as
implementing waste control measures at the construction stage. According to him, this measures should
include a good housekeeping and on-site sorting of inert from non-inert materials, which enable reuse
and recycling. In addition to his findings, many other researchers have highlighted other measures
needed to be in place for the effective waste management on construction sites. Some of these measures
includes: legislative control, controlling public filling facilities, controlling landfill areas, providing on-
site sorting facilities, implementation of an environmental management system, implementation of a
waste reduction framework plan, standardization of design to improve ability and reduce the quality of
off-cuts, stock control measures to avoid the over ordering of materials and just in time delivery strategy
(McDonald and Smithers, 1998; Poon et al., 2001; Shen et al., 2002; WDO, 2006).
405
This study employed a quantitative research approach. Data were collected using a questionnaire
design. The questionnaire formulation begins with a review of related literature to identify possible
measures that can be adopted for the effective control of construction waste. From the literature review,
sixteen potential measures were identified and were presented in a questionnaire form for survey. The
questionnaire design consists of two main sections. The first was the introductory section which was
design to collect the background information of the respondents. The second section is the principal
section which requested the respondents to appraise the significance level of each of the identified
factors as possible measures that can be adopted for the effective management of construction waste.
The respondents were to judge the significance on a predefined 5 point Likert scale (1=Strongly
Disagree, 2=Disagree. 3=Neutral, 4=Agree and 5= Strongly Agree). Based on the ranking given to each
of the factors by the respondents, MIS score was obtained for each of the identified factors and were
ranked from highest to lowest. An hypothesised mean of 3.5 was used as relevant level determinant as
used in some earlier studies (Ahadzie et al., 2008). Thus, a factor is considered relevant if it has a mean
item score of 3.5 or more.
Since the focus of this research is on management of waste generated from construction activities in the
Polokwane municipality of SA, the sample for the study were randomly drawn from the construction
professionals who are involve in various types of construction activities and their firms are duly
registered in the Polokwane Capricorn Municipality District. The target respondents were contractors,
builders, engineers, project managers and site agents who operates at the senior level in all categories
of construction firms visited. These respondents were asked to rate the methods and measures that can
be adopted for the effective control of construction waste in Polokwane. The research survey attracted
44 responses and they were analysed using SPSS. The analysis shows that respondents are involved at
both private and public construction sectors of the industry. Further, the analysis shows that 29.5% of
the respondents were site agents/foreman, 31.9.4% were project managers, 22.7% were engineers, and
15.9% were Construction Managers. The years of experience of the participants varies, 79.5% had
experience that ranged from 1-5 years, 18.2% had experience in the range 6-10 years and 2.3% had
experience that ranged between 11-15 years. The analysis further revealed that 52.3% had worked in 4-
10 projects, 36.4% had worked in 11-15 projects, 6.8% had worked in 16-25 projects, 2.3% had worked
in 1-3 projects and 2.3% had worked in more than 25 projects. This demographic information implies
that the respondents have involved in a number of projects within the province and are suitable for this
type of project which make the data reliable.
As aforementioned, the mean item score (MIS) was utilised in the analysis of respondents’ perceptions
of the relevance of each factor identified as measure that can be taking for effective waste control and
management system. The MIS takes into account each factor’s frequencies as being the perceived
potential measure that can be employed for effective waste control in Polokwane. For the purpose of
clarity and better presentation of the agreement reached by the respondents, the mean item score and
ranking of each factor were tabulated. A summary of the analysis results is shown in Table 1. In
addition, the mean item score for each factor, including the associated standard deviation, is also
reported In Table 1. Consequently, based on the five-point Likert scale, a factor was deemed very
significant if it has a mean item score of 3.5 and above. In the situation where two or more factors have
406
the same mean item score, the factor with the lowest standard deviation was allotted the highest
importance ranking.
From Table 1, it was revealed that on site management systems ranked first with a MIS of 4.59,
implementation of an environment management system ranked second with a MIS of 4.55,
implementation of a waste reduction framework plan ranked third with a MIS of 4.45 while
standardization of design to improve build ability and reduce the quantity off-cuts, waste auditing to
monitor and record environmental performance, provision of an on-site sorting facilities, controlling
land fill area, design management to prevent over specification of material, legislation control, stock
control measures, supply quantities flexibilities measures, use of contractual clauses to penalised waste
poor management performance, dedicated specialist sub-contract package for on-site waste
management, education and awareness measures, just-in-time delivery measures were ranked fourth,
fifth, sixth, seventh eight, ninth, tenth, eleventh, twelfth, thirteenth, fourteenth, fifteenth, sixteen and
seventh respectively. It is very important to note that the results of this study offer an interesting
observation in that all the factors with exception of the last factor named ‘Just in time delivery strategy’
have a MIS that is higher than hypothesised mean of 3.5.
Table 5: Measures for controlling construction waste

MIS SD RANK
MEASURES FOR CONTROLLING CONSTRUCTION WASTE
On site management system 4.59 0.658 1

Implementation of an environment management system 4.55 0.791 2
Implementation of a waste reduction framework plan 4.45 0.730 3
Standardization of design to improve build ability and reduce the quantity 4.41 0.984 4
of off-cuts
Waste auditing to monitor and record environmental performance on –site 4.36 0.892 5
Controlling landfill areas 4.34 0.963 6
Providing on-site sorting facilities 4.34 1.010 7
Design management to prevent the over specification of materials 4.30 0.904 8
Legislative control 4.23 0.937 9
Stock control measures to avoid the over ordering of materials 4.20 0.954 10
Supplier flexibility in providing smaller quantities of materials 4.05 0.872 11
Contractual clauses to penalize poor waste performance 3.98 0.876 12
Dedicated specialist sub-contract package for on-site waste management 3.75 0.967 13
Educate clients about the measures to reduce waste levels 3.68 1.196 14
Controlling public facilities 3.50 0.952 15
Just in-time delivery strategy 3.23 1.292 16
Consequently, a cursory evaluation of the order at which these factors are ranked may suggest priorities
and level of relevance attributed to each of the factors by the professionals’ as waste control measure.
However, it is important to note that the fifteen factors are having very high MIS and the MIS are close
to each other. This is an indication that there is possibly no discernable difference in the level of
relevance attached to the identified potential measures. This implies that though the potential measure
factors can be prioritized, all the fifteen factors are potential measures that can be adopted for effective
control of waste on construction projects. A careful observation of the first three factors identified as
the potential measure for waste control by the professionals shows that they can be grouped under
source reduction measure. Source reduction has been advised and in most countries taken as highest
priority (Ali et al., 2014). In the hierarchy of waste management, reduction of waste is to be considered
first due to the fact that it provides economic benefits by reducing the costs associated with
407
transportation and disposal (Tam, 2008; Wang et al, 2010). Thus, the management system of source
reduction, reuse, recycling, and landfilling are very important (Wang et al, 2010).The waste
management hierarchy put emphasis on reduction, reuse, recycle and disposal. It is therefore very
important to educate all relevant construction stakeholders so that they can have adequate knowledge
that can promote effective waste management within the construction industry.
6. Conclusion
The measure that can be adopted for an effective waste management system was examined in this study
based on the potential waste control measured that were identified from the literature. The study
revealed fifteen measures that could be put into consideration for effective waste management system.
These measures include on site management systems, implementation of environment management
system, implementation of a waste reduction framework plan and education of various construction
participants on the importance of adequate waste control and management system. Thus, the study adds
to the body of knowledge by providing information on measures that can be adopted for effective
construction waste management in Polokwane district in South Africa. The adoption of these measures
would go a long way in enhancing efficient construction project performance in Polokwane district of
South Africa. It is very important to note that this paper is limited to Polokwane district professionals,
and as such affects its generalization. This limitation suggests wider study of this investigation within
South Africa.
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DII-2017-047
A desk study of road infrastructure performance

measurement criteria
Chioma Okoro1, Innocent Musonda2, Justus Agumba3
Abstract
Transport infrastructure meets the demands for people and cargo delivery by providing access to
working, shopping and travelling and improving the quality of life of citizens. Road infrastructure needs
to be sustained for eons after its development. However, there is no consensus on the criteria upon
which the operational performance of road infrastructure projects is assessed. This paper aims to
identify all potential criteria for assessing road projects in operation. A desk study was conducted using
relevant journal and conference papers obtained from databases including ASCE Library, Science
Direct and Ebscohost. The review was conducted based on international and South African context.
Thematic analysis was used to identify emerging themes from extant literature. The themes were
tabulated and ranked based on their frequency of occurrence to determine the most important criteria
for measuring the performance of road projects in operation. Findings indicated that institutional
productivity and effectiveness, operational efficiency, health and safety, mobility, environmental
element, public acceptability, asset value, legal and technical factors can be used to assess the
performance of road projects. The study provides vital information which would be beneficial to project
managers, and indeed investors, in assessing and projecting sustainable performance of road projects in
operation.
Keywords: performance, performance measurement, roads, transportation
41
1. Introduction
Transportation infrastructure meets the demands for people and cargo delivery by providing access to
working, shopping and travelling and improving the quality of life of citizens. Countries require well-
developed transport infrastructure to compete internationally and to provide a high level of accessibility
in terms of traffic and goods flows (Schuckmann et al., 2012). Road transport infrastructure, in
particular, facilitates mobility of people and specialized products and services which are essential for
development and growth, meets the demands for access to working, shopping and travelling, enhances
the value of land within the locality in which they are provided and improves the quality of life of
citizens (Brown-Luthango, 2011). Road networks make the location of households and their business
and social activities more attractive and lucrative, increase demand for properties and encourage
changes in land use (Bon, 2015). In addition, employment opportunities are created for unskilled
workers during construction and taxi ferrying of passengers to neighbouring areas (Renner and Gardner,
1PhD Candidate, Department of Construction Management and Quantity Surveying, University of Johannesburg, South Africa,
2028; PH +27738626360; [email protected]
2Senior Lecturer, Department of Construction Management and Quantity Surveying, University of Johannesburg, South
Africa, 2028; PH +27730769652; [email protected]

3Senior Lecturer, Department of Construction Management and Quantity Surveying, Durban University of Technology,
Kwazulu-Natal, South Africa, 2028; PH +27313732466; [email protected]
411
2010; Bon, 2015). Suffice to say, road transport infrastructure contributes to economic growth and
social welfare (Doll et al., 2009).
However, despite their contribution to the development of economies, road transport projects may
become very complex, although they usually start with a single primary function (the interconnection
of several urban nodes on a line of infrastructure) (Salet et al., 2013). Along the line, they have to deal
with the varying emerging purposes and interests in ever-changing and unpredictable context of
possibilities and constraints (Salet et al., ibid.). This unpredictability affects performance of road
projects both in the short and long term and therefore they have to be managed to ensure that they
continue to fulfill the objectives for which they were initially planned and constructed and do not disrupt
the lifestyle, health, wellbeing and quality of life of the citizenry for which they are planned (Kaare and
Koppel, 2012; World Bank, 2013). Hence, research on the indicators to measure performance of road
transport projects is important. Performance measurement of road projects, which relates to how well a
system is fulfilling or meeting its set of predicted goals and objectives, is essential for effective planning
and management (Dhingra, 2011). It includes various parameters that track a system’s ability to achieve
intended objectives.
Copious studies have been conducted on the indicators of road transport performance. However, these
studies were not really comprehensive, focusing on one or two factors, and/or excluding important
aspects that affect the quality of life of the citizenry directly or indirectly. For instance, Dhingra (2011)
focused on public transport service systems; Litman’s studies (2011; 2017) dwelt on mobility and
accessibility; Faturechi and Miller-Hooks (2015) reviewed performance measures related to physical
performance (robustness, resilience, and so on) and travels only, and ability to withstand or absorb
pressure or demand (travellers’behaviour) in the event of uncertainties such as natural disasters,
bombings and/or terrorist attacks; and more recently, Yatskiv and Budilovich (2017) evaluated the
transport system in Riga with a focus on sustainability. Another study (Haas et al., 2009), although
comprehensive, satisfaction of users among social values, as well as preservation of green spaces and
wildlife welfare. In addition, Ramani et al. (2009) and Kaare and Koppel (2012) identified performance
measures in terms of sustainability including financial, environmental and social indicators.
The present study identifies all possible indicators (measurable and immeasurable) that reflect road
infrastructure performance, especially those which can be relatable to the users, and their wellbeing and
satisfaction. The objective of this study is therefore to identify all possible criteria on which road
infrastructure performance can be assessed and the level of attention given to the wellbeing and
satisfaction of the citizenry (users). The findings from the study will be useful to planners, investors
and policy makers in assessing prosperity of investments in terms of holistic achievements of social,
financial and economic objectives. Performance measurement allows transit planners and operators to
determine if resources are used efficiently and equitably, as well as to identify potential problems, and
verify whether a particular improvement strategy achieves its predicted targets with regard to
satisfaction and quality of life of the public (users). Hence, it paves way for course correction which
translates into a constant effort at improving services to match standards, whilst considering its impact
on the community. The succeeding sections describe the methodology employed in conducting the
study, the findings and conclusion drawn from the study.
2. Methodology
The current study is part of a preliminary investigation in a wider study investigating prefeasibility
factors that should be considered to predict performance of road projects. A review of literature was
conducted from databases including Science Direct, Google, Google Scholar, Taylor and Francis and
412
ASCE Library. Materials for review were sought using relevant keywords including performance, roads
and transport, and combined with words and phrases such as measurement, indicators, success and so
on. Materials were chosen if they met the following criteria: possession of the relevant keywords, and
currency (published in the last twelve years, from 2006 to date). Each piece of literature was reviewed
and synthesized to determine the focus, context and key findings. Findings were synthesized using
thematic analysis, to identify emerging road transport performance factors discussed in the literature,
and to create new findings (Thomas and Harden, 2008). The indicators appearing mostly were also
shown, to reflect the degree of consensus or agreement among the authors in the sampled literature.
3. Road Transport Infrastructure Performance Measurement

Road infrastructure performance measures or indicators are transport statistics which are used to
evaluate progress toward established goals and objectives (Dhingra, 2011). According to Kaare and
Koppel (2012) and Schiff et al. (2013), performance indicators depend on the objectives for which the
investment was made. If a given road project performs as intended in terms of originally set objectives,
then success is said to have been achieved performance of road projects in operation can be deemed
successful if it achieves and continues to achieve the objectives for which it was initially implemented
(Kaare and Koppel, 2012). This view was also supported in a report on a road transport project in Brazil
(World Bank, 2013). The report indicated that the project was expected to contribute to economic
development through reduction of road transport costs, increasing competitiveness in domestic and
external markets, improving social benefits by facilitating access to social services, reducing travel
times, sustainability of transport investment programs by supporting the federal transport agency in
improving effectiveness of environmental and social impact mitigation policies. It was therefore
evaluated based on the level of satisfaction by which those parameters were perceived.
Similarly, Estonia’s road transport development whose objectives were to reduce transport costs,
improve road safety and road administration and improve competitiveness in trade, was evaluated based
on those measures. Other factors include cash flows, customer feedback and growth potential. These
output measures can help to establish and quantitatively measure effectiveness of the project,
transaction and transportation costs, which could partly be influenced by the degree of efficiency of
roads (quality and speed), predictability, safety, security, comfort and reliability of travel, travel times,
and so on. Nonetheless, performance measures used should be suitable and appropriate for planning
and evaluation purposes (Dhingra, 2011). The factors which have been identified to measure
performance of road projects are discussed in the next section.
3.1 Measures of road project performance
Extant literature indicated a plethora of road projects performance indicators. These are discussed
hereunder, according to their frequency of occurrence in the sampled literature, to show the consensus
and discourse on the themes in literature.
3.1.1 Productivity and effectiveness of the transport system
The level of efficiency and/or productivity and effectiveness of the transport system can reflect its
performance. According to Haas et al. (2009), productivity and effectiveness of the transport system
reflect costs and benefits ratio, maintenance costs and learning possibilities. Operational efficiency
relates to the volume of service outputs and/or margins that are realised from the quality of resource
inputs (capital, labour, fuel) (Matsuo, 2015). Indicators here include load factor, cost-per-vehicle-
kilometer, response to accidents and injuries, rate of detection of accidents, response time to incidents
413
and complaints, and traffic delay due to maintenance works (Haas et al., 2009; Ramani et al., 2009;
Dhingra, 2011).
Other studies suggested that productivity and effectiveness of the funding institution also reflects the
performance of the road transport system since it affects the flow and adequacy of finance for the
transport activities to remain in a state as to continuously command the set fares or tolls. The measures
of institutional effectiveness include internal rate of return, net present value, incitement of commerce
to communities, assurance of liquidity cushion, cost recovery(revenues/expand ratio,
revenue/maintenance expenditure ration), economic or expenditure productivity (total, expansion and
betterment, presentation, operations and administrative expenditures), economic returns (cost
effectiveness, benefits, network depreciation – current value of roads and replacement cost), shortfalls
or lags (quantity and value of backlogs); and service demand (Briefing Memorandum, 2007; Bryce,
2008; Haas et al, 2009; Kaare and Koppel, 2012; Bivens, 2014; Liepziger and Lefevre, 2015; Liu et al.,
2015; Liyanage and Villalba-Romero, 2015; Rudžianskaitė-Kvaraciejienė et al., 2015).
3.1.2 Environmental elements
Environmental elements include environmental protection and quality factors such as air and noise
pollution (atmospheric levels of carbon monoxide, nitrous oxides and particulates), proportion of green
area preserved, welfare of wildlife, and percentage of investment in environmental protection (Ramani
et al., 2009; Haas et al., 2009; Kaare and Koppel, 2012; Liu et al., 2015; Liepziger and Lefevre, 2015;
Rudžianskaitė-Kvaraciejienė et al., 2015; National Geographic, 2016). Road transport activities
produce pollutants, which can cause unfavourable and undesirable changes in the environment by
altering a species’ growth rate, interfering with food chains, and disrupting health, comfort, amenities
and human property values (Razak et al., 2013). In the opinion of the National Academies of Sciences
(NAS), 2005), ecological concerns should be balanced with goals of transportation mobility, capacity
and social needs in determining whether and how to undertake projects. Street ambience and aesthetics
(trees, public art, scenic views, etcetera), parking and pedestrian countdown signals enhance the
attractiveness of the environment as well as lifestyle and should be considered in road transport
(VanZerr and Seskin, 2011; Schmale et al., 2015).
3.1.3 Acceptability
The level of acceptability or opposition to the subject project reflects performance. According to Carter
(2015) and Mišic and Radujković (2015), public acceptability should be a vital consideration in road
transport performance measurement since it affects the demand for services provided by the network,
which in turn invariably affects the cash flow accruing to an investor. For instance, in Mišic and
Radujković (2015), it was reported that public opposition to the development of the Lignes aˋ Grande
Vitesse Meˊditerraneˊe in Paris resulted in the passing of a statute to ensure that there is public debate
about future infrastructure developments at the time of decision to build and understanding and
subsequent acceptability by the public. Other studies suggested that willingness to pay, number of
complaints, acceptable tariff levels, and perceived level of satisfaction from services (security and
delays) reflects acceptability (Briefing Memorandum, 2007; Canterelli et al., 2010; Liu et al., 2015;
Liepziger and Lefevre, 2015; Osei-Kyei and Chan, 2016).
3.1.4 Social benefits
Social benefits relate to the experience of users, which are important for developing public transport
systems that respond to demands and so are able to attract even choice riders. This needs serious
attention in most developing cities today, but are sometimes ignored in transport planning (Dhingra,
414
2011; Randolph, 2016). Measures of social benefits consist of rider comfort/convenience (ride quality,
road smoothness and quality), travel speed and reliability, affordability, integration and satisfaction,
cost reduction of accidents, number of displaced families/individuals, travel time reduction, vehicle
operating costs reductions, increase of welfare of communities, and unit saving in fuel (Briefing
memorandum, 2007; Bryce, 2008; Haas et al., 2009; Dhingra, 2011; Liepziger and Lefevre, 2015; Liu
et al., 2015; Rudžianskaitė-Kvaraciejienėet al., 2015; Mišic and Radujković, 2015).
3.1.5 Mobility and accessibility
According to Litman (2017), mobility refers to the physical movement, measured by trips, distance and
speed. Accessibility is the ease with /which people reach desired destinations and/or participate in
activities from specific locations to a destination using a mode of transport at a specific time (Taylor,
2008). Increased mobility increases accessibility, which refers to people’s overall ability to reach
services and activities and therefore the time and money that people and businesses must devote to
transportation. Factors that affect accessibility includes motor vehicle travel conditions (car travel
speeds, affordability and safety), quality of other modes (walking, cycling, public transit, delivery
service speeds, convenience, comfort, affordability and safety), transport network connectivity (quality
of connections between modes such as the ease of walking or cycling to public transport stations), and
land use proximity (development density and mix and thus, distance s between activities). These
measures include congestion, average travel speed, detours, closures and road restrictions and access to
jobs and labour (Taylor, 2008; Ramani et al., 2009; Haas et al., 2009; Kaare and Koppel, 2012;
Liepziger and Lefevre, 2015).
3.1.6 Asset value
Asset value has to do with preserving and maintaining the quality of existing assets to continuously be
consistent with set toll fees, and thus leveraging the maximum possible funding (Ramani et al., 2009).
Due to declining fuel tax revenue on existing highway infrastructure and possibility of new highway
projects, the quality of highways must be maintained. Measures here include rate of depreciation,
reduced replacement cost, reduced impact of expansion, leveraging non-traditional funding sources
(Haas et al., 2009; Ramani et al., 2009; Kaare and Koppel, 2012). Asset value also has to do with the
technical aspects of roads including design risks and functionality, designed life span of road (in years),
adoption of sustainable material and renewable resource, and improved road network density (Liu et
al., 2015; Liyanage and Villalba-Romero, 2015).
3.1.7 Health and safety
Vehicle safety, pedestrians’ and cyclists’ protection as well as serious road injuries reduction are
priority interests and major concerns with most agencies and countries (Transportation Association of
Canada (TAC), 2006: European Transport Safety Council (ETSC), 2016). Safety can be compromised
by use of mobile phones while driving, drivers’ fatigue, etc. (ETSC, 2015). The performance measures
include accidents rates per million vehicle kilometers (number of accidents), rates of crash risk and
stress (TAC, 2006; Haas et al., 2009; Kaare and Koppel, 2012; Liepziger and Lefevre, 2015).
4. Implications and Conclusion

The afore-discussed factors were identified from the sampled literature, as being reflective of road
transport performance. They are summarised in Table 1 based on their frequency of occurrence among
the sampled literature. The way in which transportation is evaluated can affect planning decisions.
Institutional productivity and effectiveness, followed by environmental elements, acceptability, social
415
benefits, and mobility and accessibility, seemed to be the most frequent indicators emerging among the
sampled literature. This implies that in addition to the economic returns attracted by road transport
infrastructure investments, environmental and social benefits/values are also attached and should be
given consideration in transport planning. If social benefits such as travel time reduction, comfort and
convenience (ride quality) and reduction in congestion are the bases of evaluation, then roadways’
quality should be improved. Likewise, if acceptability is the basis, then engagement with the
public/users of the system should be a priority since this will in turn increase service demand and
willingness to pay which will invariably contribute to the rate of cost recovery and return on investment.
Table 1a: Summary of identified road project performance indicators

Indicator Measures Source Year
Institutional (funding - Internal rate of return - Briefing Memorandum 2007
structure) and - Net present value - Bryce 2008
operational - Incitement of commerce to communities - Haas et al. 2009
productivity and - Assurance of liquidity cushion - Ramani et al. 2009
efficiency - Cost recovery - Kaare and Koppel 2012
- Economic productivity - Bivens 2014
- Service demand - Liepziger and Lefevre 2015
- Response to accidents and injuries - Liu et al. 2015
- Rate of detection of accidents - Liyanage and Villalba-Romero 2015
- Response time to incidents and complaints - Matsuo 2015
- Traffic delay due to maintenance works - Rudžianskaitė-Kvaraciejienė et al. 2015
Environmental - Air and noise pollution - NAS 2005
elements - Proportion of green area preserved - Ramani et al. 2009
- Percentage of investment in environmental - Haas et al. 2009
protection - VanZerr and Seskin 2011
- Street ambience and aesthetics - Kaare and Koppel 2012
- Liu et al. 2015
- Liepziger and Lefevre 2015
- Rudžianskaitė-Kvaraciejienė et al. 2015
- Schmale et al. 2015
- National Geographic 2016
Acceptability - Acceptable tariff levels - Briefing Memorandum 2007
- Willingness to pay - Canterelli et al. 2010
- Number of complaints - Liu et al. 2015
- Level of opposition - Mišic and Radujković 2015
- Perceived satisfaction from services (security and - Carter 2015
delays) - Liepziger and Lefevre 2015
- Osei-Kyei and Chan 2016
Social benefits - Cost reduction of accidents - Briefing memorandum 2007
- Number of displaced families/individuals - Bryce 2008
- Travel time reduction - Haas et al. 2009
- Vehicle operating costs reductions - Liepziger and Lefevre 2015
- Increase of welfare of communities - Liu et al. 2015
- Unit saving in fuel - Rudžianskaitė-Kvaraciejienė et al. 2015
- Comfort/convenience (ride quality, road smoothness, - Mišic and Radujković 2015
quality)
- Congestion
Mobility and - Congestion - Taylor 2008
accessibility - Average travel speed - Ramani et al. 2009
- Detours - Haas et al. 2009
- Closures and road restrictions - Kaare and Koppel 2012
- Access to jobs and labour - Liepziger and Lefevre 2015
- Litman 2017
- Yatskiv and Budilovich 2017
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Table 1b: Summary of identified road project performance indicators (continued)
Indicator Measures Source Year
Quality /Asset value/ - Ride quality (convenience) - Haas et al. 2009
Technical/engineering - Rate of depreciation/maintenance - Ramani et al. 2009
aspects frequency/replacement cost - Kaare and Koppel 2012
- Maintaining quality consistent with the set toll fees - Liu et al. 2015
- Reduced impact of expansion - Liyanage and Villalba-Romero 2015
- Design risks and functionality
- Designed life span of road (in years)
- Adoption of sustainable material and renewable
resource
- Improved road network density
Health and safety - Perception of safety - TAC 2006
- Number of accidents - Haas et al. 2009
- Rates of crash risk - Kaare and Koppel 2012
- Stress - Liepziger and Lefevre 2015
Furthermore, mobility and accessibility is considered to be important in evaluating performance of

transport system. On these bases, transit service and alternative modes of transport (cycling and
walking) should be improved to avoid congestion, improve travel speed and provide alternative routes
and modes of access to opportunities (work, school, etc.). Health, safety and security seemed to be the
least considered factors among the sampled study. This is concerning since the health and wellbeing of
the users should be of paramount concern given that they are the one who inhabit and use the transport
networks and structures and are expected to be for the services accruing from the existence of the
network. As such, their health and safety should be given considerable attention. Another possible
explanation for the health and safety outcome could be that the elements are intertwined and related to
other factors. For instance, improving the quality of the transit service will improve their response to
accidents and complaints (operational efficiency) and increase acceptability as well. This suggests that
the factors could be interrelated and further studies could explore this relationship.
The objective of the study, which was to identify road performance measurement indicators, has been
achieved. Through a review of selected literature, institutional productivity and efficiency,
acceptability, social benefits, environmental elements, mobility and accessibility emerged as the most
considered indicators. With these findings, the current paper adds to the body of knowledge on road
performance measurement indicators and in addition, presents evidence of the most considered
indicators in performance measurement to ensure that road projects continue to perform as they were
intended.
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economic activity in the US economy. EPI
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adaptations around the Delhi metro. Habitat International, 45:223-230.
Briefing Memorandum (2007). The Kazungula Bridge- Botswana, Zambia. ICA Meeting: Financing
Transport for Growth in Africa.
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Brown-Luthango, M. (2011). Capturing land value increment to finance infrastructure investment:
Possibilities for South Africa. Urban Forum, 22:37-52.
Bryce, J. M. (2008). Developing sustainable transport infrastructure: Exploring the development and
implementation of a green highway rating system. ASTM International.
Canterelli, C. C., Flyvberg, B., Molin, E. J. E. and van Wee, B. (2010). Cost overruns in large-scale
transport infrastructure projects: Explanations and their theoretical embeddedness. European Journal of
Transport and Infrastructure Research, 10(1): 5-18.
Dhigra, C. (2011). Measuring public transport perfromavcne: Lessons for developing cities. Sustainable
Urban Transport Technical Document. Deutsche GesellschaftfürInternationaleZusamnenarbeit (GIZ).
Eschborn, Germany.
Doll, C., Durango-Cohen, P. L. and Ueda, T. (2009). Transportation infrastructure planning,

management and finance. Journal of Infrastructure Systems, 15(4):261-262.
European Transport Safety Council (ETSC). 2015. Improving pedestrian and cyclist safety and tackling
driver fatigue. ETSC Conference, 5 November, Riga, Latvia.
European Transport Safety Council (ETSC). 2016. Ranking of EU Progress on road safety. 10 th Road
Safety Performance Index Report. ETSC.
Faturechi, R. and Miller-Hooks, E. (2015). Measuring the performance of transportation infrastructure

systems in disasters: A comprehensive review. Journal of Infrastructure Systems, 21(1): -1- -1.
Haas, R., Felio, G., Lounis, Z. and Falls, L. C. (2009). Measurable performance indicators for roads.
Canadian and international practices. Annual Conference of the Transportation Association of Canada,
Vancouver, British Columbia.
Kaare, K. K. and Koppel, O. (2012). Performance indicators to support evaluation of road investments.
Journal of Economic Literature, 018, R42: 88-107.
Leipziger, D. and Lefervre, B. (2015). Private investment in public transport success stories from
Brazilian cities. Washington: World Resources Institute.
Litman, T. (2011). Measuring transportation: Traffic, mobility and accessibility. Victoria Transport
Institute.
Litman, T. (2017). Accessibility for transportation planning: Measuring people’s ability to reach desired
goals and activities. Victoria Transport Policy Institute.
Liu, M. Balali, V., Wei, H. and Pena-Mora, F. A. (2015). Scenario-based multi-criteria prioritization
framework for urban transportation projects. American Journal of Civil Engineering and Architecture,
3(6): 193-199.
Liyanage, C. and Villalba-Romero, F. (2015). Measuring succeed of PPP transport projects: A cross
case analysis of toll roads. Transport Reviews, 35(2): 140-161.
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DII-2017-064
A Comparative Study between ‘Traditional and Green’

Lease Provisions in Tenanted Office Buildings: The Case
of Lusaka
Busiku Sharlyn Kaunda1, Ian Azele Chibale2
Abstract
Globally, the real estate sector is a contributor of greenhouse gas (GHG) emissions, a great consumer
of energy, water, raw materials and generator of waste. A large number of tenanted commercial
buildings are non-green which means they are not environmentally efficient. On the other hand, the use
of traditional lease agreements compound the problem by acting as a barrier in achieving sustainability
goals and a hindrance in reducing expenditure on water, energy and waste. Traditional lease agreements
also increase maintenance expenditure. The research design was a case study approach and Lusaka
Central Business District (CBD) was used to collect primary data being the commercial hub of tenanted
office commercial buildings. This study carried out a comparative analysis between traditional leases
being used in tenanted office buildings and the proposed green lease provisions in eight proposed
thematic areas. The study also investigated the types of buildings whether green, non-green, certified,
lease and data sharing management between the property owners and occupiers. The study highlights
the benefits of the green leases and also brings out the principle of sustainability with its global
benchmarks, the drivers of sustainability and also develops a theoretical framework which shows that
increasing sustainability of buildings brings about an increase in building worth. The Zambian context
shows that most of the interventions in having an environmentally friendly real estate sector are still at
infancy stage although the legal mandate has been given to Zambia Environmental Management
Agency (ZEMA) and Zambia Green Building Association (ZGBA) to manage the environment
sustainably and hence these should be the major drivers of this process. The key findings of the research
show that all the buildings sampled in the study area were not green, not certified and used traditional
lease agreements. The current status quo poses environmental challenges as buildings tend to consume
a lot of water, energy, generate waste, contributes to pollution, incurs high maintenance costs and act
as a barrier in increasing productivity of the occupants. The study therefore recommends the use of
green lease provisions that have the potential to improve profitability and productivity. 42
Keywords: commercial building, green buildings, lease, sustainability, tenanted office
1. Introduction
According to the Construction, Building and Real Estate Research Conference of the Royal Institution
of Chartered Surveyors (RICS COBRA) (2015) ‘Green Leasing’ has become a familiar terminology in
recent years. This is so simply because ‘Green Leasing’ encapsulates the idea of a new form of leasing
that will help solve many environmental challenges that the world is facing today. In some way, this
1Lecturer; Department of Real Estate Studies; The Copperbelt University; P.O Box 21692, Kitwe; Email:
[email protected].
2Assistant Director Valuation and Taxation; P.O Box 70197 , Ndola; Email: [email protected]
420
convenient and catchy phrase has however, generated both fears and hopes. On one hand, the fears are
that ‘Green Leasing’ is a radically different and therefore, risky form of leasing. While on the other,
hopes and expectations are that it will actually positively transform the environmental performance of
tenanted buildings. The significance of green leases has been supported by many scholars in different
literature and amongst the most recent is Janda et al. (2016) who argued that ‘Green leasing’ seeks to
enable landlords and tenants to meet environmental targets by changing their organisational practices.
Green leases incorporate ‘green’ clauses within the lease and are designed to account for energy
efficiency and other sustainability goals.
The real estate sector is responsible for more than 20% of the world’s carbon emissions and other
environmental impacts (World Economic Forum, 2016). Such environmental impacts have to do with
waste production and management, pollution, water and the consumption of other natural resources
(World Economic Forum, 2016). Improving the energy efficiency of buildings and of the appliances
installed therein could offset about 85% of the projected incremental demand for energy in 2030.
Assessing the environmental performance of real estate investments is important because investing in
more environmentally-friendly buildings may well be a path towards increased shareholder value to a
large extent. The investments needed to improve energy efficiency in buildings have positive net present
values (Creyts et al., 2007) and literature documents higher asset values for commercial buildings
certified as green or energy efficient (Kok and Quigley, 2010).
Boyd and Kimmet (2009) indicate that there are four expected results from greater environmental
efficiency and that three of the four impacts should have a positive effect on the capital value of the
building. However, the degree and timing of the impact is complicated and will differ according to the
type of environmental improvement. It is too simplistic to conclude that the change will always, or even
frequently, have a positive impact on the capital value. What is important is that environmental factors
have the potential to provide a better return from a building asset.
2. Conceptualisation of ‘Traditional and Green Lease’ Provisions

Traditional lease agreements vary in many aspects and in different property markets. In some cases,
these leases are prepared by different professionals such as lawyers, property managers, and property
owners amongst others. Traditional lease agreements tend not to incorporate specific clauses that could
achieve environmental sustainability of the rented space. Research carried out by Janda et al in 2016
shows that improving environmental performance of non-domestic buildings is a complex and ‘wicked’
problem (one which is difficult or impossible to solve because of incomplete, contradictory and
changing requirements that are often difficult to recognise) problem due to conflicting interests and
incentives. This is particularly challenging in tenanted spaces, where landlord and tenant interactions
are regulated through leases that traditionally ignore environmental considerations.
Literature shows the benefits of green leases as opposed to traditional leases and notable among the
researchers is theJones Lang LaSalle (JLL), 2015), which views green leases as an enabler in providing
a mechanism to allow buildings that weren’t originally designed to achieve ‘sustainability’ to achieve
high environmental performance and other benefits of a green lease as outlined in the following table.
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Table 1: Benefits of green leases
Greater transparency Sharing data and regular reporting improves transparency to enable tenants and landlords
to measure success against agreed sustainability goals.
Improved environmental Securing critical commitments by the landlord and the tenant. A sound sustainability
performance strategy will improve efficiency and performance. JLL clients have identified between 3 -
10% energy reductions from easy to implement sustainability measures built into leases.
Greater engagement Brings about improved working relationship between landlords and tenants as green leases
focus on collaboration and mutual benefit.
Improved productivity Green leases bring about green buildings and increasingly green leases aim to address
and comfort sustainability concerns beyond energy, water and waste. Example; improved “Indoor air
quality (IAQ) can result in productivity gains by occupants between 8-11%” and “Thermal
comfort can have single figure impacts on productivity as well as material energy savings”
Source: JLL, 2015
Further benefits include amongst others improved Civic Relations where you lease: Many cities are
strong advocates of green leasing such as New York where the Mayor assembled a Green lease
Taskforce and San Francisco Business council for climate change developed a green tenant toolkit for
local occupiers and landlords (Meagan, 2013). Green leases are a contribution towards the city’s efforts
to make cities more sustainable by 2030 which is in line with the 2030 Sustainable Development Goals
(SDGs). According to Council of Australian Government (2012) green leases bring benefits to both the
tenant and the landlord. Menard and Elliot (2008) pointed out that there may be several barriers which
hamper the initiatives of a landlord who wishes to make his building more energy, water and resource
efficient such as:
i. A green lease does not adapt well to a "net" lease environment where there is little incentive for
the landlord to conserve.
ii. When negotiating a lease the emphasis is still put on "base-rent", which means that reductions (or
potential reductions) in additional rent are not considered important in the decision to enter into
a lease of a specific site.
iii. There are usually long pay-back periods for some type of improvements.
iv. There is generally little, if any, leadership, compulsion or incentive from governments.
Property firms and industry associations are also researching the impact of sustainability on property
with ‘green’ being seen as ‘good for business.’ (Corps, 2005) According to Armitage (2009) the
Canadian study showed a clear link ‘between the market value of real estate and its environmental
friendliness.’ It found that greener buildings can:
i. Earn higher rents and prices,

ii. Attract tenants and buyers more quickly,
iii. Cut operating costs,
iv. Benefit occupiers and
v. Improve productivity
In identifying the impact of sustainability on rents and values the results of studies by Miller et al.
(2008), Fuerst and Mcallister (2008) and Pivo and Fischer (2009) identified a positive relationship by
varying percentages. Green leases are an enabler in providing a mechanism to allow buildings that
weren’t designed with sustainability in mind to achieve high environmental performance (JLL, 2015).
Sayce et al. (2009) states that ‘the benefit of green leases, which have so far largely been associated
with office buildings, are considered to be numerous and include improved public relations, revenue
savings and the ability to recruit and retain staff’.
There is a clear green premium for office buildings adopting the sorts of energy efficiency and other
measures associated with green leases. There is also a proven statistical correlation of green properties
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with improved rents, reduced vacancies, reduced outgoings and reduced incentives (Council of
Australian Government, 2012). Literature points to more benefits than barriers in the use of green leases
as opposed to traditional leases. The theoretical framework in Figure 1 is supported by the theory that
any building which is environmentally friendly brings about positive economic and social effects.
Figure 1: The theorectical framework (Source: Authors, 2017)
Most developed countries have institutionalised green leases through development and implementation
of toolkits for green leases. The green lease toolkits are meant to enable owners and occupiers of
commercial buildings to work together to reduce negative environmental impacts of their buildings.
These countries include UK, USA, France, Canada, Australia, New Zealand and South Africa amongst
others. One synonymous thing about countries with toolkits is that they also have well established Green
Building Councils (GBCs). France further developed in 2013 Green legislation also known as “annexe
environmentale” to support the implementation of green leases. The purpose of this legislation helps to
balance owner and tenants environmental obligations with transparency between both parties (Besnier,
2014).
It is the aforementioned discourse that prompted an inquiry into a comparative study between the use
of green leases with its social and economic benefits as opposed to using traditional leases in tenanted
office commercial buildings. The methodology provided a systematic framework for the investigation
into the utilisation of green leases with its provisions in the tenanted commercial office buildings. This
paper’s methodology adopted a two-tiered approach of reviewing secondary peer-reviewed literature
and undertaking in-depth interviews and a distribution of questionnaires to key informants in the real
estate sector. Literature reviewed included reports published by different local and international
agencies as well as journal articles and books. Questionnaires targeted property owners, facilities
managers/ property managers and tenants of both private and parastatal companies with valid lease
agreements. For the parastatal companies, questionnaires were distributed to Property managers of
National Housing Authority (NHA), Zambia State Insurance Corporation (ZSIC), Real Estate
Investment of Zambia (REIZ), and National Pension Scheme Authority (NAPSA). On the other hand,
423
property managers apart from the landlords and tenants from the private companies such as Keystone
Property Consultants, Spiral Property Consultants, Madison Assets were also targeted. With respect to
in-depth interviews conducted, institutions were purposively sampled due to their knowledge and
experience in green buildings and these were; Zambia Green Buildings Association (ZGBA), Zambia
Environmental Management Agency (ZEMA), Lusaka City Council and National Council for
Construction (NCC). Out of a total population of 424 commercial office spaces in Lusaka’s CBD only
278 were sampled. The study adopted a case study approach of Lusaka’s Central Business District
(CBD) due to the fact that it has the largest number of commercial properties in Zambia (Knight Frank,
2016).
The study found that all the tenanted office commercial buildings sampled in the study area were non-
green buildings as they were not certified either by LEED or Energy star as green buildings and this
may be due to the fact that all the offices were still using traditional lease agreements and not green
lease agreements. These traditional lease agreements did not also incorporate data sharing policies
which a green lease incorporates to enable tenants and landlords to measure success against agreed
sustainability goals and thereby increase transparency. Although not legally binding as a provision in
the lease agreement, the study found that attempts are being made by most office occupiers to
incorporate aspects of sustainability such as; the use of energy saving bulbs and using alternative
sources of energy such as solar to achieve energy efficiency. This was seen as a step forward to the
achievement of environmental sustainability although artificial heating and ventilation using air
conditioning was still practiced and this is a major consumption of energy in most office commercial
properties. Green leases are an enabler in providing a mechanism to allow buildings that weren’t
designed with sustainability in mind to achieve high environmental performance. With regards to the
efficient use of water through rain water harvesting and recycling there were no efforts to recycle grey
water and most plumbing fixtures used were ordinary fixtures with a few traces of high efficiency
plumbing fixtures. Most of the commercial buildings did not have office waste separation policies
which a green lease incorporates but instead had contracts with Lusaka City Council -Waste
Management Unit (LCC-WMU). Car-pooling policies were not present in any commercial properties
in the study area.
According to ZGBA, ZEMA, NHA, ZSIC, REIZ and NAPSA green lease agreements in non - green
tenanted commercial buildings were not being used in Lusaka apart from Foxsdale office park in
Lusaka’s Foxdale area but was not part of the study area. Another point worth noting is that the study
found that there was no proper coordination among professional bodies such as NCC, ZEMA and
ZGBA in the area of promoting green office buildings in Zambia although institutions such as ILO have
attempted to initiate a programme known as ‘Green jobs’ which is currently constructing residential
houses that incorporate environmental sustainability in North Western Province of Zambia. Zambia
Green Building Association (ZGBA) which is supposed to play a significant role in promoting green
buildings was a fairly new association and was still in the process of trying to recruit members. The
institution had very little information concerning the number of green office buildings nor green
initiatives in the country. The study found that most of the property managers are implementing certain
green practices in the management of these facilities without the knowledge of green leases and no
legislation to guide them. Health and safety committees were not a common feature in most commercial
properties, as the majority did not have these committees in place although fire management plans and
facilities were in the majority of commercial buildings probably due to the fact that it is a legal
requirement in Zambia to satisfy fire safety before a trading licence is granted. The majority of the
424
commercial buildings in the study area had in place building maintenance plans but did not have the
following which a green lease incorporates such as; a building maintenance committee incorporating
both landlord and tenants, building user guides and no formal mechanisms for gathering tenant
feedback. In appreciating the importance of mitigating impacts of commercial buildings on the
environment by including sustainability concepts in commercial buildings the world environment day
was commemorated at Foxdale office park on 03rd June 2017 by the stakeholders. This was to showcase
the initiatives and sensitise the public on the benefits of using green policies in commercial buildings.
5. Conclusion
It was evident from the findings above that all the tenanted office commercial buildings in the case
study area were non - green buildings, did not use green leases but had traditional lease agreements.
This indicates that Zambia is still in its infancy stage in the promotion of green buildings. This
information was also confirmed by ZGBA, ZEMA and Property Managers of these commercial
buildings. The only exception was Foxsdale office park which was not in the Central Business District
and hence not in the study area.
The above background shows that the non - green tenanted office commercial buildings are contributing
negatively to the environment in terms of energy consumption, water consumption, waste management,
pollution, high maintenance costs, attracting blue chip tenants and increasing productivity of occupants,
retention and recruitment of employees It has been proved and shown in the literature of this study that
the above scenario can be improved through green leases for non-green tenanted office commercial
buildings. Literature shows that there is a link between improved sustainability of the buildings with
enhanced financial and social performance, through lower operational costs, higher rents, better
occupancy rates, improved productivity of occupants and higher sale prices than non - green tenanted
office commercial buildings with traditional lease agreements. Green leases ultimately also enhance the
corporate image, improves recruitment and retention of employees and ultimately achieves
environmental sustainability which is in line with the Sustainable Development Goals (SDGs) 2030
which is an international agenda.
6. Recommendations
The study recommends the use of green leases as opposed to using the traditional leases in tenanted
office buildings as this will help achieve environmental sustainability of buildings and improve the
productivity of occupants. It proposes thematic areas to be used in green lease provisions. The study
further recommends a sensitisation programme nationwide by institutions such as ZEMA and ZGBA
on the importance and benefits of using green leases in non - green tenanted office commercial
buildings. ZGBA also needs to enhance the accreditation of existing buildings through a green lease
toolkit. Ultimately Green leases should then be able to boost the corporate brand of institutions when
institutions aim to address climate change and sustainability.
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Industry, Geneva, Switzerland.
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DII – 2017

4th International Conference on Development and

30 August - 1 September, 2017

Copyright © DII-2017, 2017

All correspondence pertaining to the International Conference on Development and Investment

WAH KONG ENTERPRISES LIMITED

The broad topics covered by the conference include:

 Infrastructure development strategies for developing countries

Dr EM Mwanaumo, University of Zambia

First stage of review

Second stage of review

Third stage review

In its mission, UJ commits itself to the following:

The values guiding all University activities include:

• Build a reputable brand;

THE SCHOOL OF BUILT ENVIRONMENT

THE SCHOOL OF ENGINEERING, UNIVERSITY OF ZAMBIA

POSTGRADUATE PROGRAMMES OFFERED IN THE SCHOOL

Taught MEng programmes

Part II – Research Component (Second Year)

Themed, “INFRASTRUCTURE AND SUSTAINABLE DEVELOPMENT – IMPACT OF REGULATORY

Prof Luke MUMBA

Prof. Murray METCALFE

Prof. Amira Omer Siddig OSMAN

Prof. Imasiku NYAMBE

Prof. Nicholas CHILESHE

Arch. Martin KABWIRI

QS. Matthew NGULUBE

Prof. Overson SHUMBA

The Development and Investment in Infrastructure (DII) Conference

International Conference on Infrastructure

PEER REVIEW PROCESS (PRP) CONFIRMATION

On behalf of the DII-2017 International Conference on Infrastructure Development and Investment

Development and Investment in

WEDNESDAY, AUGUST 30, 2017

Facilitating Experimentation in Infrastructure Delivery through Innovative “Open” Governance

LEGISLATIVE AND INSTITUTIONAL FRAMEWORKS; AND GOVERNANCE IN 9

Examining the impact of housing policy on urban sprawl in Harare – Zimbabwe

A factorial analysis of international construction joint venture performance measures: A case of

Assessing the Application of Strategic Planning in Improving Competitiveness of Small and

Exploring the Efficacy of Innovative Urban Public Transport Infrastructural Systems on

INTEGRATED INFRASTRUCTURE INVESTMENT, PROCUREMENT AND

Leveraging Public-Private Partnership as an Effective Tool for Infrastructural Development in

Centralized vs. Decentralized Electricity Generation in Zambia: Sustainable Options in the

Energy Efficiency Enhancement of Off-grid Photovoltaic Power Plant

Developing Africa’s Future City Engineers

The Significance of Workers’ Involvement in Cultivating a Safety Culture in Zambia’s

Importance of Transport Infrastructure for Socio-Economic Development: A South African

Environmental Influences on Sustainability Dimensions in the South African Construction

Towards Optimising the use of Quarry Dust in Concrete Production in Zambia

A desk study of road infrastructure performance measurement criteria

Towards Understanding of Environmental Impacts of

Keywords: environmental-geochemical atlas, industrial pollution, mining, urban planning

Between a Rock and a Hard Place: A Study of

Keywords: development, megaprojects, performance, project process

1Manchester Business School, Developing,[email protected]

Facilitating Experimentation in Infrastructure Delivery

1 University of Johannesburg, [email protected]

Conceptualising and Mapping the Contribution to the