DEVELOPMENT AND VALIDATION OF A SAFETY AND HEALTH PERFORMANCE MODEL FOR LOW COST HOUSING
AZUIN BINTI RAMLI
A thesis submitted in fulfilment of the requirement for the award of the Doctor of Philosophy
Faculty of Civil and Environmental Engineering Universiti Tun Hussein Onn Malaysia (UTHM)
DISEMBER 2014
v ABSTRACT
Sustainable building and construction practices in Malaysia are primarily aimed at improving the safety and health performance of buildings while minimizing its impact on resources and the natural environment. Thus, a comprehensive understanding of the factors that contribute to safety and health performance of our built environment is essential. The aim of this study is to develop a building safety and health performance (BSHP) model, focusing on the safety and health performance factors of low cost housing in Malaysia. These factors include the architecture, building services, external environment, operation and maintenance, and management approaches. The influence of these factors on perceived personal responsibility towards adopting a BSHP model for low-cost housing in Malaysia was also studied. This study was undertaken in two stages. Firstly, literature on existing safety and health practices related to low-cost housing and facilities were reviewed to identify factors that influence health and safety performance. Quantitative data were gathered to assess the suitability of the factors based on experts judgement and survey. Data obtained were statistically examined using the exploratory factor analysis (EFA) and the proposed model was identified. Secondly, quantitative data were gathered through a main survey involving 308 respondents to test the research model validity and the proposed hypothesis using the Partial Least Squares (PLS) tool. Results reveal that the five identified constructs have a direct positive effect on safety and health performance, as well as perceived personal responsibility. Furthermore, perceived personal responsibility (β = 0.563) towards safety and health performance has the highest beta value, followed by building services (β = 0.212), architecture (β = 0.155), operation and maintenance (β = 0.128), management approaches (β = 0.124), and external environment (β = 0.117). In testing the validity of models, results found BSHP model had a good model fit with R2 of 0.342 and in line with experts validation results. The BSHP model can inform the public of the relative risks regarding the safety and health of low cost housing. It can also help building owners, developers, and government bodies to develop more informed and socially responsible decisions to improve building safety and health performance.
vi ABSTRAK
Rekabentuk dan amalan pembinaan yang mampan di Malaysia adalah bertujuan untuk meningkatkan prestasi keselamatan dan kesihatan bangunan di samping meminimumkan kesannya terhadap sumber dan alam semula jadi. Oleh itu, pemahaman yang menyeluruh terhadap faktor-faktor yang menyumbang kepada keselamatan dan prestasi kesihatan bangunan adalah penting. Kajian ini bermatlamat untuk membangunkan model prestasi keselamatan dan kesihatan bangunan (BSHP), di mana memberi tumpuan kepada faktor yang menyumbang kepada prestasi keselamatan dan kesihatan khusus bagi perumahan kos rendah di Malaysia. Faktorfaktor ini termasuk seni bina, perkhidmatan bangunan, persekitaran luar, operasi dan penyelenggaraan, dan pendekatan pengurusan. Pengaruh faktor tanggungjawab peribadi ke arah mengamalkan model BSHP khusus bagi perumahan kos rendah di Malaysia juga dikaji. Kajian dijalankan dalam dua fasa. Pertama, kajian terdahulu mengenai amalan keselamatan dan kesihatan yang sedia ada berkaitan dengan perumahan kos rendah dan kemudahannya telah dikaji untuk mengenal pasti faktorfaktor yang mempengaruhi kesihatan dan prestasi keselamatan bangunan. Data kuantitatif dikumpul untuk menilai kesesuaian faktor berdasarkan penghakiman dari pakar dan soal selidik. Data soal selidik telah dianalisis menggunakan exploratory factor analysis (EFA) dan cadangan model telah dikenalpasti. Kedua, data kuantitatif dijalankan melalui kajian soal selidik utama yang melibatkan 308 responden untuk menguji model kajian dan hipotesis yang dicadangkan menggunakan alat kajian Partial Least Squares (PLS). Keputusan mendapati lima faktor telah dikenal pasti mempunyai kesan positif secara langsung kepada keselamatan dan prestasi kesihatan bangunan, serta faktor kesedaran tanggungjawab individu. Tambahan pula, kesedaran tanggungjawab individu (β=0.563) terhadap prestasi keselamatan dan kesihatan mempunyai nilai beta yang tertinggi, diikuti perkhidmatan bangunan (β=0.212), senibina (β=0.155), operasi dan penyelenggaraan (β=0.128), pendekatan pengurusan (β=0.124) dan persekitaran luaran (β=0.117). Dalam ujian relevan ramalan model, model BSHP mempunyai nilai model patut baik R2 dengan angkali 0.342 dan selari dengan pengesahan daripada pakar. Model BSHP akan memberi maklumat kepada orang ramai mengenai risiko keselamatan dan kesihatan perumahan kos rendah. Ia juga membantu pemilik bangunan, pemaju, dan badanbadan kerajaan untuk membuat keputusan yang lebih tepat dan bertanggungjawab untuk
meningkatkan
prestasi
keselamatan
dan
kesihatan
bangunan.
vii
TABLE OF CONTENTS
TITLE
i
DECLARATION
ii
DEDICATION
iii
ACKNOWLEDGEMENTS
iv
ABSTRACT
v
ABSTRAK
vi
TABLE OF CONTENTS
vii
LIST OF TABLES
xi
LIST OF FIGURES
xiv
LIST OF APPENDICES
xvi
CHAPTER 1
1
INTRODUCTION
1
1.1
Research Background
1
1.2
Problem Statement
3
1.3
Research Questions and Hypotheses
5
1.4
Research Objectives
8
1.5
Research Scope
8
1.6
Structure of Thesis
10
CHAPTER 2
12
LITERATURE REVIEW
12
viii 2.1
Introduction
12
2.2
The Concept of Safety and Health Performance
13
2.3
Low-Cost Housing in Malaysia
15
2.4
Issues of Building Safety and Health Performance in Malaysia
17
2.5
Assessment of Building Performance
27
2.6
Safety and Health Performance Metrics Literature
36
2.7
Building Safety and Health Performance Modelling
2.8
2.9
Framework
43
Model Validation
47
2.8.1 Exploratory Factor Analysis
49
2.8.2 Structural Equation Modelling (SEM)
50
Research Gap in the Building Safety and Health Performance Modelling Framework
54
2.10 Research Gap in Structural Equation Modelling
56
2.11 Summary
57
CHAPTER 3
58
RESEARCH METHODOLOGY
58
3.1
Introduction
58
3.2
Research Design
59
3.3
Questionnaire Design
63
3.4
Sample Design
64
ix
3.5
3.6
3.4.1 Defining the Population
65
3.4.2 Specify the Sampling Frame
66
3.4.3 Select a Sampling Procedure
66
3.4.4 Determining the Sample Size
67
Method of Data Collection
70
3.5.1 Literature Search
70
3.5.2 Experts judgment
71
3.5.3 Survey
73
Method of Data Analysis
76
3.6.1 Descriptive statistics
76
3.6.2 Exploratory Factor Analysis
77
3.6.3 Partial Least Squares – Structural Equation Modelling
3.7
79
3.6.4 Rationale using PLS-SEM
84
Summary
86
CHAPTER 4
87
IDENTIFICATION SURVEY
87
4.0
Introduction
87
4.1
Scale Purification by Expert Judgement
88
4.2
Scale Simplification
90
4.2.1 Sample Characteristics
90
4.2.2 Exploratory Factor Analysis
94
4.2.3 Descriptive and Reliability Assessment
108
4.3
Specifying Models and Hypotheses
113
4.4
Summary
116
x CHAPTER 5
117
MODEL VALIDATION
117
5.0
Introduction
117
5.1
Sample Characteristics
118
5.1.1 Type of Organization
119
5.1.2 Category of Organization
120
5.1.3 Type of Project
120
5.1.4 Years in Service
121
5.2
Initial Data Examination and Data Preparation
122
5.3
Assessment of Measurement Model (PLS-SEM)
126
5.3.1 Convergent Validity
127
5.3.2
130
5.4
Discriminant Validity
Assessment of Structural Model
132
5.4.1 Coefficient of Determination
132
5.4.2 Path coefficients and hypothesis testing
133
5.4.3 Predictive Relevance
136
5.5
Expert Judgment Validation
138
5.6
Discussion on The Findings Under Each Specific Research Question
139
5.7
Building Safety and Health Performance Model (BSHP) 145
5.8
Summary
150
CHAPTER 6
150
CONCLUSION
151 6.1
Introduction
151
xi 6.2
Limitations and Further Research
152
6.3
Contribution of Research
153
6.4
Summary
157
REFERENCES
158
APPENDICES
167
xi
LIST OF TABLES
2. 1
Development of building/facility maintenance aspects
19
2. 2
Development of building/facility maintenance aspects
20
2. 3
Fire in Malaysia, 2010-2011
21
2. 4
Performance failure of low-cost housing reported from 2008 to 2013
22
2.5
Performance failure of low-cost housing reported from 2008 to 2013
23
2. 6
Large scale failures from 2004 to 2011
26
2. 7
Comparison of the features of different schemes
29
2. 8
Focus of papers on safety and health
37
2. 9
Building safety and health performance factors
44
2. 10
Building safety and health performance factors
45
2.11
The use of PLS-SEM approach in construction research
56
3.1
Variables used in the present research
63
3.2
Group of target population
67
3.3
Sample size table
68
3.4
Required sample sizes for structural model fitting in SEM
69
3.5
Demographic information of the respondents involved content validation process
3.6
72
Demographic information of the respondents involved in validation process of the model results
73
3.7
Methods and results of data collection
76
3.8
Groups as defined for exploratory factor analysis (EFA)
77
3.9
Indicators and threshold values for EFA
79
3.10
Measures and threshold values for assessment of outer model
82
3.11
Measures and threshold values for assessment of inner model
84
4.1
Number of items before and after expert judgement
4.2
Presence of substantial correlations
89 95
xiii 4.3
Sampling adequacy of individual variables
96
4.4
KMO and Bartlett’s test for architecture constructs
96
4.5
The rotated component matrix for architecture constructs
97
4.6
Communality satisfactory for all variables
98
4.7
Presence of substantial correlations
98
4.8
Sampling adequacy of individual variables
99
4.9
KMO and Bartlett’s test for building services (BS) constructs
99
4.10
The rotated component matrix for building services variables
100
4.11
Communality satisfactory for all variables
101
4.12
Presence of substantial correlations
101
4.13
KMO and Bartlett’s test for external environment (EX) and operation and maintenance (OM) constructs
102
4.14
Sampling adequacy of individual variables
102
4.15
The rotated component matrix for external environment (EX) and operation & maintenance (OM) constructs
103
4.16
Communality satisfactory for all variables
104
4.17
Presence of substantial correlations
105
4.18
KMO and Bartlett’s test for management approaches (MA), perceived personal responsibility (PR) and performance (PF) constructs
105
4.19
Sampling adequacy of individual variables
106
4.20
The rotated component matrix for management approaches (MA), perceived personal responsibility (PR) and performance (PF) constructs
107
4.21
Communality satisfactory for all variables
107
4.22
Items dropped based on exploratory factor analysis (EFA)
108
4.23
Results of descriptive analysis of building design items
110
4.24
Results of descriptive analysis of building management items
111
4.25
Results of descriptive analysis of perceived personal responsibility items
111
4.26
Results of descriptive analysis of performance items
111
4.27
Results of internal consistency reliability values
112
xiv 5.1
Sample distribution by gender
119
5.2
Sample distribution by type of organization
119
5.3
Descriptions for type of organization ‘Other’
119
5.4
Sample distribution by category of organization
120
5.5
Sample distribution by type of project
121
5.6
Project description under ‘Others’
121
5.7
Sample distribution by years in service
122
5.8
Descriptions under ‘Others’
122
5.9
Missing data by case
124
5.10
Means and 5% trimmed means for outliers
125
5.11
Results of convergent validity
129
5.12
Discriminant validity of constructs
130
5.13
Discriminant validity of indicators
131
5.14
Variance accounted for R2 of dependent variables
132
5.15
Results of path coefficients
134
5.16
Hypotheses confirmation results
135
5.17
Predictive relevance
137
5.18
Results of validation process of the model results
values
138
xiv
LIST OF FIGURES
1.1
Scope of research
9
2.1
Framework for health and comfort
14
2.2
PPRS Sri Pantai Kuala Lumpur
16
2.3
Plan of 18 storey flats under PHP programmes
17
2.4
Buildings fire in Malaysia
21
2.5
Landslide cases based on land use
25
2.6
The hierarchy of quality features in the BQA modelling framework
30
2.7
The SHP assessment modelling framework
31
2.8
HPEM hierarchy
33
2.9
The structure of HK-BEAM
34
2.10
Contributing factors to a safe building
35
2.11
Contributing factors to a healthy building
36
2.12
Building safety and health modelling framework
46
2.13
Types of validity
47
2.14
Formative and reflective indicator of outer model
51
2.15
Path diagram
54
3.1
Research design
60
3.2
Procedure for Developing Measurement Scales
61
3.3
Procedure for drawing a sample
65
3.4
Method of data collection
70
3.5
Questionnaire delivery process
74
3.6
Questionnaire equipped with stamp
75
3.7
Data analysis design
80
4.1
The structure of Chapter 4
88
4.2
Respondent gender
90
4.3
Composition of the respondents by profession
91
4.4
Organization category
92
4.5
Type of project undertaken among respondents
93
xvi 4.6
Distribution of the number of years of services among respondents
94
4.7
Scree plot for architecture constructs
97
4.8
Scree plot for building services constructs
4.9
Scree plot for external environment (EX) and operation & maintenance (OM) constructs
4.10
100
103
Scree plot for management approaches (MA), perceived personal responsibility (PR) and performance (PF)
106
4.11
Initial research model
113
5.1
The structure of Chapter 5
118
5.2
Measurement model results
126
5.3
Results of the structural analysis
133
5.4
Objectives and research questions
139
5.5
Building Safety and Health Performance Model (BSHP)
149
6.1
Research contribution of this study
156
xvi
LIST OF APPENDICES
A
Expert Survey Instrument In Model Development
174
B
Questionnaire For Identification Survey
177
C
Questionnaire For Main Survey
182
D
Cover Letter For Data Collection By Mail
188
E
Cover Letter For Data Collection By Email
189
F
Web Survey Instrument
190
G
Expert Survey Instrument In Model Validation
198
H
Input Data Used in Identification Survey
200
I
Input Data Used In PLS-SEM Analysis
207
J
Journal and Conference Publications
238
K
Vita
240
CHAPTER 1
INTRODUCTION
1.1
Research Background
Sustainable development is fast emerging as one of the main priorities of the construction industry in Malaysia. It has a complex relationship with the quality of housing – quality of housing has huge impacts on the economic, social and environmental dimensions of sustainable development (Said et al., 2009). There is a need for a sustainable strategy for housing development in Malaysia, especially in the National Housing Policy (NHP), as the country aspires to become a developed nation by the year 2020. Under this policy, Malaysians of all income levels, particularly the low-income group, would have accessibility to adequate, affordable and quality shelter (Idrus & Siong, 2008; Sufian & Mohamad, 2009; Ubale, Martin, & Wee, 2012) The government’s commitment towards the provision of low-cost housing is evident from the announcements made by its leaders and from the government’s annual budgets and development plans since the First Malaysia Plan (1966–1970). The involvement of the private sector began during the Second Malaysia Plan (1971– 1975) when the government realized the importance of the role of the private sector in ensuring an adequate supply of low cost housing for the country (Ubale et al.,
2 2012). Under the Seventh (1996-2000) and Eighth Malaysia Plan (2001-2005), the Malaysian government was even more committed to providing adequate, affordable and quality housing for all Malaysians, particularly the low income group (Shuid 2009, 2010). Consequently, a total of RM4.2 billion was allocated for low-cost public housing during the Eighth Malaysia Plan (2001-2005) and RM9.4 billion during the Ninth Malaysia Plan (2006-2010). This effort continued in the Tenth Malaysia Plan (2011-2015) when the Government pledged to provide 78,000 units of affordable housing specially for the low income group. A fund of RM500 million was also allocated for the repair and maintenance works of public and private lowcost housing (Shuid, 2010). During the period of rapid economic growth in the 1990s, the public and private sectors actively built low-cost houses and almost achieved the total number of unit targeted. Programmes such as the Public Low-Cost Housing Project (PLCHP) and the Public Housing Program (PHP) were implemented in order to meet the needs of a rapidly growing population in the urban areas (Ministry Of Housing and Local Government of Malaysia, 2009). In this regard, Ubale et al., (2012) suggested that affordable housing for the low income group must be viewed as an integral part of an integrated housing and community development, and its provision must take into account various elements such as the government’s role as the facilitator; building design and construction methods; physical environmental elements and comfort levels; health, safety and security measures; long term maintenance requirements; replaceability of structural components; statement layout and infrastructure; and appropriate materials. However, as low-cost housing remains to be seen primarily as a government’s responsibility and a loss-making venture, it is unlikely for developers to consider quality and performance in their low-cost housing projects (Zaid & Graham, 2011; Bajunid & Ghazali, 2012). Indeed, studies like Abidin (2009) have recognized factors that impede the implementation of sustainable practices. They are a lack of legislation and enforcement; a lack of knowledge and awareness; and a passive industry culture. These factors in turn lead to other problems such as dilapidation, poor provision of services, bad location and others (Omar, 2008; Zainal et al., 2012; Karim, 2012; Zain, 2012).
3 In response to a growing awareness of building safety and health, a simple and practical modelling framework to understanding of the factors that contribute to safety and health performance of low cost housing has been proposed. Due to this reason, the main purpose of this research is to define safety and health performance, identify its dimensions and to inform the development of safety and health measurement. Furthermore, the aim of such modelling framework is to provide an objective indicator on building performance so that the indicator can be used as a reference for construction practitioners and community building management.
1.2
Problem Statement
It is well known that the construction sector contributes enormously towards Malaysia’s economic activity, employment and growth (Ministry of Housing and Local Government of Malaysia, 2009). As population density increases, so does demand for residential homes, especially for low-cost housing. The rate of urbanisation in Malaysia has increased rapidly from 25% in 1960 to 72% in 2010 (Zainal et al., 2012). An assessment by the Administrative Districts, Malaysia (2010) showed that population density in Kuala Lumpur in 2010 was 7,089 per unit of land area (Administrative Districts, Malaysia, 2010). As a result, demand for affordable housing in the cities has increased, causing an acute shortage of affordable housing. Since the Third Malaysia Plan, the number of completed low-cost housing projects has not achieved its target (Shuid, 2009; Bajunid & Ghazali, 2012). In fact, during the Eighth Malaysia Plan, the total number of low-cost housing completed was 197,649 units compared to 230,000 units needed (Ministry of Housing and Local Government of Malaysia, 2009). Many private developers were engaged to meet the housing need. However, these developers built the low-cost houses purely out of quota requirements as they are unprofitable ventures. Consequently, occupants of low-cost housing are constantly faced with many problems such as sub-standard quality, maintenance, comfort levels, health, safety and security services (Zaid & Graham, 2011; Bajunid & Ghazali, 2012). In the context of low-cost housing construction in Malaysia, the Construction Industry Development Board (CIDB) Industry has introduced Construction Industry
4 Standard 1 (CIS 1:1998) and Construction Industry Standard 2 (CIS 2:1998) – these are standards that specify the minimum design and planning requirements for lowcost houses in Malaysia (Sufian & Ibrahim, 2011). Despite the enforcement of these regulatory measures, safety and health problems persist in many low-cost housing projects. Even public low-cost housing is not excluded from these management problems. Unsatisfactory housing conditions and the reluctance of property managers to carry out safety and health inspections are evident from the large number of complaints and reports (Karim, 2012; Husin et al., 2012; Fire & Rescue Department Malaysia, 2012). A study conducted by Karim (2012) on low-cost housing quality in Shah Alam, Malaysia found that the performance of low-cost housing is affected by various issues such as quality of construction materials and sanitary system, provision of facilities and maintenance, location, and social problems. Similarly, Omar (2008) identified that the root causes leading to poor housing quality are related to housing layout and design, the surrounding environment, the level of maintenance, location, provision of amenities and the quality of building materials. Poor housing conditions cause structural deterioration, falling building fragments, fire and other safety hazards and various health problems (Keall et al., 2010; Wong et al., 2006). Urban cities are typically crowded with high-rise buildings, many of which are residential buildings. Apart from the constructed quality of these buildings and their surrounding environmental quality, the quality of Facility Management (FM) services such as repair and maintenance, cleaning, aesthetic value, safety, privacy and amenities are among the problems and risks affecting their social health and the environment (Omar, 2008; Isnin et al., 2012; Latfi, Karim, & Zahari, 2012). Another study conducted by Zainal et al. (2012) also investigated the relationship between housing conditions and the quality of life in low-cost housing in the Klang Valley. They found that housing for the urban poor lacks in physical qualities such as design, size and materials used and in other qualities such as location, landscape and availability of public amenities and services. The performance of these facilities, in effect, is influential to the health, safety and enjoyment of the residents. From the findings of previous studies, it is expected that if enough information on building safety and health is provided in the market, safer properties would be highly beneficial for the country’s environment, economy and society. It is worth investigating further on whether our buildings are sufficiently safe and healthy
5 for their occupants and the general public. Therefore, modelling framework must be developed to determine the safety and health indicators for new and existing building with the focus on the prevention of safety and health problems (Akasah, Abdul & Zuraidi, 2011; Akasah & Alias, 2009).
1.3
Research Questions and Hypotheses
In response to the issues highlighted above, in this section, we develop a list of research questions, which guide the research. All of the proposed hypotheses are used to evaluate our conceptual propositions with respect to the empirical data collected. We seek answers to our research questions by analyzing the data by using systematic and rigorous approaches that are specifically tailored for this study. Research question 1: What factors are contributing to safety and health performance of low-cost housing in Malaysia?
A review of the literature suggested that current design and practices of Malaysia’s low-cost housing are skewed towards minimizing the environmental and resource impacts and improving the safety, health, and productivity of a building's occupants. Information on safety and health performance of our buildings are readily available. For these reasons, this study does not pose the question of how buildings affect human safety and health, rather it investigates the factors contributing to the safety and health performance of a building. In order to answer research question 1, the constructs of building safety and health are conceptualized based on a literature review and quantitative (expert judgment). This approach is to widen the academic and construction professionals’ perspective and to develop further knowledge on building safety and health performance. Furthermore, building safety and health modelling framework is developed in order to provide better understanding of the factors that will be operationalised in this study. In addition, this research question will address the completeness of the building safety and health performance (BSHP) model by identifying relevant factors to be included in a model, and hence the first hypothesis has been developed to support this endeavor. To seek answers to these
6 questions, we have established and formalized our first hypothesis guided by our research agenda. Hypothesis 1: The factors identified in the literature potentially contributing to safety and health performance of low-cost housing in Malaysia. The second of research questions intend to operationalise the factors (building safety and health performance constructs ) of the building safety and health modelling framework. In addition, it aims to develop reliable and valid measurement scales in order to develop a BSHP model for Malaysia’s low-cost housing. Content validity, construct validity and reliability analysis of identification survey were assessed in order to developed a significant measures in initial BSHP model for Malaysia’s low-cost housing. Therefore, the initial BSHP model is highly important, as it will be used for testing the validity of the BSHP model. Research question 2: Are all existing building safety and health performance constructs and attributes applicable in the BSHP model?
The second hypothesis relies on the argument that our constructs such as architecture are related with the identified attributes that are potentially contributing contributing to safety and health performance of low-cost housing in Malaysia. To seek answers to these questions, we have established our second hypothesis: Hypothesis 2: There is an observable relationship among the building safety and health performance
constructs (latent) and our attributes
(indicators) in the BSHP model?
The next group of research questions aim to rigorously validate the model by examining the relationship between building safety and health performance constructs. This includes two important research questions: Research question 3: Are all building safety and health performances measures significant in the BSHP model? Research question 4: Is the BSHP model valid for measuring the safety and health performance for low-cost housing in Malaysia? This research question refers to the validation process of the BSHP model. The model will be tested according to the guidelines for reflective construct
7 validation in SmartPLS. In detail, a set of hypotheses has been developed from the literature and based on existing theory, which has been conceptualised in a initial model that proposes causal relationships of constructs (Please see Figure 4.11 on page 115) . Furthermore, the structural model representing the hypothesised relations between building safety and health performance constructs will be empirically tested based on quantitative data. In addition to statistical analysis, the validity of the BSHP model was tested by engineers, architects and building surveyor. Hypothesis 3: H1 = The factors means of escape, means of access, structural and finishes integrity, building material, amenities, space functionality and fire resistant construction have a positive influence on safety and health performance with conditions related to architecture. H2 = The factors electricity system, lighting, ventilation, air conditioning, plumbing, sanitary services, fire services and lift services have a positive influence on safety and health performance with conditions related to building services. H3= The factors emergency services, external hazards, location, air quality, peaceful environment and aesthetics have a positive influence on safety and health performance with conditions related to external environment. H4 = The factors building peripherals, structural and finishes integrity, building services conditions, fire compartment integrity and security maintenance have a positive influence on safety and health performance with conditions related to operation and maintenance. H5 =The factors emergency evacuation plan, documentation and evaluation, security management, occupant safety management and waste and cleaning services have a positive influence on safety and health performance with conditions related to management approaches. H6 = Safety and health performance is positively related to perceived personal responsibility.
8 1.4
Research Objectives
The aim of this research is to develop a BSHP model of low-cost housing in Malaysia. In addition to these aims, the objectives of this study are: i) To identify factors contributing to safety and health performance of low-cost housing in Malaysia. ii) To assess the significant factors that explain the determinants of the BSHP model for Malaysia’s low-cost housing. iii) To develop BSHP model for low-cost housing in Malaysia. iv) To validate the adequacy of the model that explains determinants of BSHP model for low-cost housing in Malaysia.
1.5
Research Scope
Housing in Malaysia can be characterized as low-cost, low medium-cost, mediumcost and high-cost (National Housing Department, 2013). Due to time and resource constraints, the subject of this study was confined to low-cost housing flats (>5 storey), by measuring the factors that contribute towards safety and health performance (Figure 1.1). They include low-cost housing flats in small towns and sub-urban areas, whereby a flat refers to a multi-storey building which houses many residential units, usually with provision of basic facilities such as lifts and maintenance services (Institut Bank-bank Malaysia, 2010). In Malaysia, private lowcost housing flats include 5-storey and more than 5-storey walk-up flats (Bajunid & Ghazali, 2012). Flats are chosen for two reasons. First, multi-storey residential blocks are common in Malaysia due to urbanization. As of end of 2012, a total of 467,185 units of low-cost flats have been built by the public and private sectors (National Property Information Center, 2012). However, minimal research and development in the field of sustainable low-cost housing has been conducted in Malaysia, especially for high-rise flats (Zaid & Graham, 2011).
9 Second, the specific purpose of low-cost housing in Malaysia is to improve the living quality of the low-income population. The impact of residential settings on human safety and health is therefore crucial. A comprehensive and efficient model based on existing local safety regulations and international safety codes and standards will be useful in drawing up policies and regulations for safety and health. Therefore, the research was designed to provide standard safety and health performance model to a new or existing building conditions, whilst a wider scope of aspects about building safety and health, including building design, existing conditions, and management practices, were taken into account in this study. The scope of samples has been limited to engineers, architects, building surveyors, quantity surveyors and developers as professionals in building construction. As the research focuses on design and management aspects of buildings, gathering research data and inputs from the professionals would be more appropriate and relevant. The rationale for the selection of the specific industries is presented in greater detail in Chapter 3.
Figure 1.1: Scope of research
10 1.6
Structure of Thesis
This thesis consists of six chapters with references and appendices, as follows: Chapter 1 – Introduction: The first chapter presents the background and problem statement of the study. Next, the research questions were presented followed by the research objectives. The research hypotheses and research scope as well as the significance of the study are also briefly outlined. Chapter 2 – Literature Review: The chapter provides a review of prior research on building safety and health performance. Concepts and related models in the area of building safety and health are presented in detail. Gaps are identified, and how this research is positioned to fill in these gaps is discussed. Chapter 3 – Research Methodology: The chapter begins with a discussion on the research strategy and the methods used in this research. The rationale for the methods chosen for data collection is also presented. In addition, this chapter presents the data analysis techniques and the statistical software packages used in this study. Chapter 4 – Identification Survey: This chapter describes the design of the survey instrument that was used to collect the main data and to explore relevant building safety and health performance factors in BSHP model. Factorial analysis was conducted to test the applicability of the 6 constructs and 40 indicators/items of building safety and health performance in the model development. The chapter concludes with the development of the research hypotheses and proposed model. Chapter 5 – Model Validation: This chapter presents the analysis and key findings of the main survey. It includes data analysis, procedures for model validation as well as the testing of the process model.
11 Chapter 6 – Discussion and Conclusion: In this final chapter, the outcomes of the research and the linkage with existing studies in the literature are presented and discussed in greater detail. It also presents the theoretical and practical contribution of the study to the literature. Finally, limitations of the study and suggestions for future research are presented.
CHAPTER 2
LITERATURE REVIEW
2.1
Introduction
This chapter provides an overview of the key concept of safety and health performance and its related literatures, focusing particularly on measurement of safety and health performance. Therefore, this chapter has six aims 1) To introduce the general concept of safety and health performance 2 ) to explore safety and health
issues in Malaysia 3) to describe the evolution and current literature underlying the concept of safety and health performance 4) to identify the appropriate and relevant perspectives in the area of safety and health performance especially in low-cost housing in Malaysia 5) to identify existing gaps for the positioning of this research and 6) to explore potential research methodologies that would be relevant in this study. ,
13 2.2
The Concept of Safety and Health Performance
Building performance relates to a person-environment relationship throughout the entire building life cycle (Preiser & Vischer, 2005). A systematic approach that would ensure a continuous incorporation of feedback throughout the process would ensure building quality during planning and construction and, later, during occupation and operation. According to Preiser and Vischer (2005), the three levels of priority in building performance are: i. health and safety performance; ii. functional, efficiency and work flow performance; iii. psychological, social, cultural and aesthetic performance. Yau (2006) argued that energy efficiency, health, building intelligence, and sustainability – aspects that affect building performance – are inextricably linked with the fundamental function of a building, namely to provide a comfortable and safe place for habitation. In addition, Pati, Park and Augenbroe (2009) said the prediction of building performance criteria reflects the expectations held by owners and occupants, and the extent to which these expectations are met by designers and building operators. Therefore, the measurement and improvement of performance requires goals that are guided by occupancy requirements and performance criteria i.e. safety and health to be established at the outset. A variety of performance criteria for buildings are in use around the world, one of which is the performance in safety and health, which is the focal point of this study. The World Health Organization (WHO) defines health as "a state of complete physical, mental, and social well-being, not merely the absence of disease" (World Health Organization, 1997). This concept of health is significant in measuring building health quality, encompassing a complete state of physical, mental, and social well-being. The definition of a healthy building, based on the relevant literature, can be summarized as one that protects occupants from hazardous materials, building-related physical and mental illnesses, physical injury and death during its entire life cycle (Bluyssen, 2010; Wong et al., 2006). Wong et al. (2006) developed a tool to measure health and safety of residential buildings and divided health into seven components - “Indoor Air Quality’”, “Thermal Comfort”, “Lighting
14 Quality”, “Space”, “Water Supply”, “Sanitation Handling” and “Sound and Space”. His model allows the assessment of health and hygiene performance of residential buildings. More comprehensive research and practices have been developed and used to address health and comfort issues. Bluyssen (2010) developed a framework of health and comfort with the goal of creating healthy and comfortable conditions for people to live and work. He proposed a measurement framework that contains four elements – human being, border indoor-outdoor, control and total life-cycle management (Figure 2.1). The framework highlights indoor environment factors (i.e., indoor air quality, thermal comfort, acoustical quality and visual or lighting quality) as the most important elements.
Human being
Performance indices Integrating (conscious and unconscious) health and comfort aspects
Border indoor– outdoor
Control
A sustainable envelope that guarantees a high basic level of health and comfort
Performance on demand, anticipating wishes and needs during different activities and over time
Total life-cycle Management End-user focused system engineering of the indoor environment
Figure 2.1: Framework for health and comfort (Bluyssen, 2010)
In another study, Yau (2006) defined a safe building as a built environment that safeguards its occupants and the general public from physical, psychological or material harms originating from the built environment. Safe buildings aim to reduce injuries and deaths, and hence, encourage the positive well-being of humanity. He identified “Structural Failures”, “Falling Objects”, “Fire Hazards”, “Building Services Failures” and “Special Hazards” as components of safety threats. Smith and Petley (2008) acknowledged hazard as a potential threat to humans and their welfare and estimated the probability of a hazard occurring and causing loss. Therefore, an assessment of housing hazards and a standardisation of measurement approaches are
15 important for significant improvements to the health, safety and sustainability of housing (Keall et al., 2010). In addition to proposing an assessment to measure the performance of buildings, he identified structural defects, ineffective waste disposal and inadequate protection against falls, fire and lightning as components of hazards. In summary, a safe and healthy building is a built environment that optimises building performance and satisfies the requirements of performance, namely: structural integrity, fire resistance, optimum building services, safety in operation and management, safety from external hazards, air quality, thermal comfort and acoustical and visual comfort. The later sections of this chapter will explain the reasons for including these indicators in defining a safe and healthy building.
2.3
Low-Cost Housing in Malaysia
Low-cost housing in Malaysia is a response to the urgent housing needs of the low income groups, particularly in the large urban centres (Zainal et al., 2012). Low-cost housing remains to be seen as a government effort to provide adequate and affordable housing and related facilities for the low-income groups and squatters. The Ministry of Urban Wellbeing, Housing and Local Government, through the National Housing Department, plays a vital advisory role through the housing strategies and programmes that have been outlined. Various public housing projects have been implemented, such as the Public Low-Cost House Programme (PLHP), available for sale or as a rent-to-buy scheme, People’s Housing Programme for sale (PPRM), People’s Housing Programme for rent (PPRS) and Integrated Housing Programme (PPRB) (Ministry Of Housing and Local Government of Malaysia, 2009). The overall number of houses built under the low-cost housing category was encouraging with 200, 513 units completed, or 86.4% of the Ninth Malaysia Plan’s target (Economic Planning Unit, 2010). Under the Public Low-cost Housing Programme (PLHP) for the low income group, a total of 27,006 low-cost houses were constructed in 70 projects concentrated mainly in small towns and sub-urban areas. This programme was financed by the Federal Government but was implemented by the State Government since 1976. For cities and larger towns, the
16 People’s Housing Programme (PHP) that includes PPRB, PPRM and PPRS were implemented for the resettlement of squatters. During the Ninth Malaysian Plan, 37, 241 low-cost houses under PPRB were completed and rented out to those eligible. Out of this total, 24, 654 units were built in Wilayah Persekutuan Kuala Lumpur while 12, 587 units were built in other major towns throughout the country. As of December 31, 2011, a total of 88 PPRS projects (Figure 2.2) consisting of 76,159 units have already been implemented in which 64 projects consisting of 62,716 units have already been completed (Ministry of Urban Wellbeing, Housing and Local Government, 2013). 24 projects comprising of a total of 13,443 units were in various stages of construction. Houses built under both PPRM and PPRS use the specifications of planning and design of low-cost housing set out in the National Housing Standard for Low-cost Housing Flats (CIS2). As shown in Figure 2.3, low-cost housing in major cities are 5 to 18-storey residential buildings with a minimum floor space of 63 m2 per unit of housing. Each unit consists of 3 bedrooms, a lounge, a dining area, a kitchen area, two bathrooms and toilet, and a drying area (Ministry of Housing and Local Government of Malaysia, 2009). The houses are sold at a price of RM42,000 and below per unit and the applicant’s household income is less than RM2,500 per month.
Figure 2.2: PPRS Sri Pantai Kuala Lumpur (Ministry of Housing and Local Government of Malaysia, 2009)
17
Figure 2.3: Plan of 18 storey flats under PHP programmes (Ministry of Housing and Local Government of Malaysia, 2009)
2.4
Issues of Building Safety and Health Performance in Malaysia
Today, health and safety issues are becoming areas of concern in construction industry. According to Salfarina et al., (2010), although the developers are aware of the rising issues on sustainability, little efforts are generated from them in implementing it. Therefore, there are buildings with special design characteristic and with special function, which is normally hard to maintain. The poor maintenance management systems has resulted in a myriad of building problems like structural deterioration, deficiencies in fire safety provisions, building structural failures and slope failures. These problems are highlighted in the following sections.
18 2.4.1
Maintenance and Management
Maintenance can be defined as activities required to keep a facility in good condition and to maintain it in its original productive capacity (Hashim et al., 2012). To ensure that buildings remain in good conditions and to avoid the risk of accidents caused by a deteriorated structure, consistent building maintenance in public housing is crucial to preserve the capital value of the structure (Lateef, 2010; Abdul, Akasah & Zuraidi, 2012). Efforts have been made to achieve a sustainable construction industry by the year 2020. The history of building maintenance initiatives in Malaysia is summarized in Table 2.1 and Table 2.2, which indicates the government’s attention towards the construction industry. The studies by Hashim et al. (2012) and Mohammed and Hassanain (2010) discussed the issue of maintenance management in Malaysia’s low-cost housing. They noted that problems in facility maintenance are often caused by limitations in design and materials used, a lack of construction knowledge and inadequate inspection and/or maintenance. They also identified that a lack of cooperation between the parties, especially between the facility manager and the design professionals at the design stage, may be a major contributor to maintenance problems. Based on case studies conducted on the conditions of low-cost housing buildings in Kuala Lumpur, Petaling Jaya, Shah Alam, and Klang, Zainal et al. (2012) found that many buildings face maintenance problems that need urgent attention in order to preserve them from further deterioration and decay. Inherent maintenance problems in facilities are also found to have a significant relationship with respondents’ physical health status. This has been highlighted by McDermott, Haslam and Gibb (2007) who identified that overcrowding and stress can be linked to adverse physical health conditions. On the management side, the most challenging issues in managing stratified buildings are safety and health aspects, which are related to Facility Management (FM) activities (Yahya, 2011; Ta, 2006). Ta (2006) emphasized that there are no standard guidelines in property management. Hamid et al. (2011) added that it is difficult to formulate and develop a template for benchmarking performance measurement in FM. A framework for benchmarking FM could be developed with the industry working in close collaboration with relevant government agencies and
19 universities. In this regard, this research seeks to create a platform to develop a model framework for benchmarking performance measurement especially in safety and health of buildings and in FM. Table 2. 1: Development of building/facility maintenance aspects (Noor et al., 2011 and Government of Malaysia, 2010) Program / Project by Government PWD Annual Report 2000-2001
Initiative/Scope/Practice/Model
Fund (RM)
• PWD planning to widened the scope to all PWD projects & to set up the department of Operation & Maintenance (O&P). • Upgrading internal facilities in Parliament Building
Budget Cost: RM 2.0 m
National Budget 2003
Clause 142 – Upgrading & Repair of existing hospital & medical facilities in rural area.
Budget :RM289.7m (including new buildings)
PWD Annual Report 2004
• New mission towards maintenance & facility management • Refurbishment & upgrading work of educational buildings • Scope 1 - Upgrading and additional work of higher education building • Scope 2 - Refurbishment work
National Budget 2005
• Large fund for Public Facility Maintenance Program including buildings - hospital, schools, government quarters
• Polytechnic building, Cost: RM64 m • Hockey Stadium (KPM), KL – RM2.48m • Computer Lab - Cost : RM 76,000 -152,000/Nos. of building • Malaysia Hall & Student building, Queensborough Terrace, London - Cost : RM 17.3 m Allocation of fund RM 500m- 4.1b (special allocation)
PWD Annual Report 2005
• The formation of Maintenance Regulation Division • To regulate the maintenance of federal buildings and roads
National Budget 2006
• Improve Public Facility Maintenance Program - with special allocation
Allocation of fund RM 4.3m + RM 1.0 billion (special allocation)
NAFAM Conference 2007
Set up the national asset management
NAFAM Conference 2007
MoW Annual Report 2007
• Strengthening the Maintenance Unit of MoW divide to 2: Road & Building. • The role of Building Unit - To regulate and monitor the terms of agreement of the management and maintenance of Federal Common buildings (Gunasama) as well as ensure that services offered are satisfactory in terms of safety, comfort and cost effectiveness. • Publication of Federal Common Building Information Book 2007 -2009 – as KPI
MoW Annual Report 2007
20 Table 2. 2 (continue): Development of building/facility maintenance aspects (Noor et al., 2011 and Government of Malaysia, 2010) Program / Project by Government
Initiative/Scope/Practice/Model
National Budget 2009
Additional expenditure for maintenance management
NAFAM Conference 2009
New approach in Government Total Asset Management
Manual Total Asset Management (TAM) 2009
New approach in:1) Asset management – operational & maintenance 2) Facility management • The implementation of Total Asset • Management (TAM) and PFI (Private Finance Initiative) • Workshop to develop sustainable strategies for facilities management • Repair and maintenance of building and road.
10th Malaysian Plan: 2011- 2015
2.4.2
Fund (RM)
RM 615 m for school and hostel maintenance
• 10 per cent of the allocation under the Tenth Malaysia Plan for buildings and roads maintenance. • Repair and maintenance works of public and private low-cost housing
Fire hazards
Fire safety of buildings has long been a concern in most cities. Fires in buildings are always due to either human error or human negligence. Even a small fire can cause significant devastation when human dwellings are involved. The Fire and Rescue Department Malaysia (FRDM) (2012) reported that the seven-year fire statistics in Malaysia (Figure 2.4) show 154,987 building fire cases in Malaysia in 2005-2011, with a gradual increase in the number of cases over the years.
21
Private Sector
6000 5000 4000
5240 3457
5248
3625 3353
3000
3447
3017
2000 1000 0 2005
2006
2007
2008
2009
2010
2011
Public Sector
Figure 2. 4: Buildings fire in Malaysia (Fire and Rescue Department of Malaysia, 2012)
By type of building, residential buildings recorded the highest number of fire cases in 2010 and 2011, followed by shops, plants, stores and offices (Table 2.3). From the statistic, residential buildings have the highest risk of a fire breakout. These include high-rise accommodation buildings, such as flats, apartments and condominiums (Yatim, 2009).
Table 2. 3: Fire in Malaysia, 2010-2011 (Fire and Rescue Department of Malaysia, 2012) Year 2010 2011
Residential 2918 2761
Types of Building Shop Plant/factory 657 287 654 307
Store 219 217
Office 143 132
22 2.4.3
Structural, Building Materials and Building Services Failures
The type of materials installed as well as the life cycle of each building component must also be considered. Users are currently becoming increasingly aware of the safety and health issues in housing environment. A study by Isnin et al. (2012) indicated that the residents of low-cost terrace housing in Shah Alam are generally not satisfied with the materials used in construction. They found that the finishing materials often cause problems and increase the threat to social health and to the environment. Therefore, the performance of building materials has become an important attribute of building quality together with structural and building services performance, space functionality, amenities, architectural design, finishes and workmanship (Isnin et al., 2012). Apart from the findings by the researchers, recent critics of low-cost building performance are also reported in the media. Problems are caused by technical failures and safety and quality issues, causing detrimental effects on residents’ health and safety. Some failures of building performance in low-cost housing are shown in Table 2.4 and Table 2.5. Table 2. 4: Performance failure of low-cost housing reported from 2008 to 2013 (Adapted from Husin et al., 2012) Housing / Location
Performance Failure
Safety Effects
Low-cost flats at Kondo Rakyat, Pantai Dalam, Kuala Lumpur (2008)
Serious cracks on walls, water seeping out from the ceilings, malfunctioning lifts.
Residents are disappointed as there has been no action taken even though complaints to DBKL have been made repeatedly. They are worried for their safety.
Rumah Mesra Rakyat, Sungai Rotan, Perak (2009)
Serious cracks on walls and windows
Occupants are worried for their safety.
An apartment in Taman Sri Aman, Petaling Jaya (2009)
Wall cracks causing water penetration into the units
Residents are disappointed as there has been no action taken by Majlis Perbandaran Petaling Jaya (MPPJ) and the developer to solve the issue.
Rumah Mesra Rakyat, Sik, Kedah (2009)
Serious wall cracks, leaking roofs and ceilings
80 families are worried that their poor house conditions are threatening their safety.
23 Table 2. 5: (continue): Performance failure of low-cost housing reported from 2008 to 2013 (Adapted from Husin et al., 2012) Housing / Location
Performance Failure
Safety Effects
Low-cost flats in Desa Mentari, Petaling Jaya (2009)
Wall cracks, water seeping into the units, uneven walkways due to soil movement, voids underneath the floor slab
The occupants are worried for their safety as the situation is worsening by the day. They demand a thorough study to be conducted on the place to determine whether the place is safe to live.
Low-cost apartments at the Commercial Centre, Section7, Shah Alam (2009)
Serious floor and wall cracks (Block F), leaking roof causing flood in the units
More than 1000 residents feel unsafe and scared at all times.
20 storey low-cost flats at Kondo Rakyat, Desa Pantai, Kuala Lumpur (2010)
Incomplete wiring system, ceiling cracks, serious wall cracks, deflection of floor slab
The residents are disappointed that the house condition is not as promised. Although the houses cost only RM25,000RM28,000, a human being needs a house in acceptable and safe conditions.
Low-cost flats in Seri Cempaka, Kampung Pasir, Pantai Dalam (2012)
Serious cracks on walls and windows
Occupants safety.
20 storey Low-cost flats in Larkin Perdana, Johor (2013)
Clogged drains and toilets.
The residents are disappointed that the flat is dirty because the channel hole is filled with waste and overflow.
Desa Tun Razak Housing Project (2013)
Lift failure
A year-five pupil was killed while trying to escape from a malfunctioning elevator.
2.4.4
Public
worry
for
their
Provision of Amenities and Facilities
As mentioned earlier, low-cost housing in Malaysia must follow a minimum specification standard: a built-up area of 550–660 square feet with three bedrooms, a dining area, a separate bathroom and toilet, and a drying area. Goh and Ahmad (2011) in studying residential satisfaction of low-cost flats in Kuala Lumpur revealed that residents are not satisfied with the size of the kitchen. Likewise, Isnin et al. (2012) found that most low-cost housing areas have limited space and facilities for community and recreation activities such as educational and health facilities, multipurpose halls, playground and public transport. House alteration is common due
24 to demand for better and more comfortable dwellings. However, poorly designed and executed alteration works have caused even more problems and have further increased the threat to social health and environment. Apart from the built-up area, location is also an important factor that affects satisfaction among public housing tenants. Bajunid and Ghazali (2012) identified three aspects, namely geographical location, physical environment and social environment. They found that a house is more valuable if it is well connected and if the residents have a good sense of belonging to the neighbourhood and the community. Affordable and accessible housing, accessibility to transport, healthcare, education and training, leisure and recreation facilities, accessibility to other public amenities and opportunities for social interaction are basic requirements of living, working, and playing in urban communities (Williams et al., 2007). Issues of facilities and amenities also influence housing satisfaction among occupants of lowcost housing. A study by Hashim et al. (2012) on housing satisfaction of the residents of low-cost, multi-storey public housing in Selangor revealed that the residents are not satisfied with the building services and facilities in their housing area. They pointed out that besides facilities in the house, common facilities such as public transport, educational and health facilities, markets, mailing system, community hall, playground, and parking lots are important to support the daily life of the dwellers and to enhance the residents’ quality of life.
2.4.5
External Environment
Many studies have shown that the most problematic situations faced by low-cost housing occupants are air and noise pollution caused by traffic or the industry and road congestion (Zain, 2012; Zainal et al., 2012). Bajunid and Ghazali (2012) gave further evidence of the need to consider the quality of the surrounding environment. In their review, the surrounding environment plays a prominent role in promoting physical health, in providing opportunities for developing social relationships as well as for aesthetic needs. Karim (2012) identified at least four important domains of housing environment – family, social environment (neighbours and community), community facilities and neighbourhood’s physical environment.
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