The Production of New Affordable Housing in the Syrian Cities

353 Pages·2014·5.84 MB·English

The Production of New Affordable Housing in the Syrian Cities:
The Possible Role of Procurement Processes in Improving
Construction Efficiency

Aseel Al Khalaf

Thesis submitted for the Degree of Doctor of Philosophy

Heriot Watt University
School of the Built Environment

January 2014

This copy of the thesis has been supplied on condition that anyone who consults it is
understood to recognise that the copyright rests with its author and that no quotation from the
thesis and no information derived from it may be published without the prior written consent
of the author or of the University (as may be appropriate).
Abstract
Despite the Syrian government’s commitment to provide adequate and affordable
housing, through housing programmes implemented over successive five-year
development plans, there is still a shortage of affordable homes for low-income people.
This shortfall can be attributed to constraints at two basic levels: housing system design
(strategic level) and housing system implementation (operational level). Housing
policies and construction practices systematically lack the proper strategies and
sophisticated approaches for change.
In contrast, the UK government has adopted strategic and operational mechanisms for
enforcing change in publically-funded projects through a reform agenda (policy
package) aimed at creating innovative collaborative relationships between client
organisations, and private sector consortia. In this, the procurement processes were seen
as a key driver to stimulate change for effective provision of affordable housing.
This study aimed to investigate possible efficiency improvements in the affordable
housing supply process in Syria, focusing on the role of more sophisticated approaches
to project delivery, i.e. the procurement process. Data collected through a literature
review and interviews with key informants from both the UK and Syria, forms the basis
for a comparative assessment on how lessons learned from the UK experience can be
applied in the Syrian context.
This study advocates a holistic, top-down process involving the legal, cultural, technical
and financial aspects of affordable housing supply and concludes that addressing the
Syrian housing deficit requires modification of structural policies, principles and
strategies of government intervention to foster collaboration between public and private
sectors.

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Dedication

This thesis is dedicated to
the memory of my sister
LEEN AL KHALAF

“You deserve to know that even though I don’t always get a chance to show it before
you leave us, you live within my heart and will not let go as long as I am still
breathing. Blood may bind us but love unites us forever”

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Acknowledgments

I would like to thank my supervisors, Dr Graeme Bowles and Professor Paul Jenkins,
for their guidance, helpful assistance and encouragement during the course of my study.
Thank you for always encouraging, never pushing.
There are many other great people who in many ways contributed to the success of this
thesis. I would like to thank all the interview respondents from Syria and the UK for
their valuable time, contributions and kind participation in this study, and who have
given confidence in its progress. My appreciation also goes to my PhD colleagues who
have willingly shared their knowledge and experience, and to my friends in the UK who
greatly followed the process of this work with love and encouragement. I would like to
express my gratitude and affection to my friends in Syria, who from a distance inspired
me in my endeavour to complete this thesis.
Sincere and deepest gratitude and appreciation are due to my parents, sisters and
husband who have supported me throughout my years of pursuit of higher education,
from my undergraduate degree to current doctorate degree. Without their support and
encouragement this study might never have been completed. Last but not least, my
acknowledgements are to all who contributed, either directly or indirectly, to the
successful completion of my thesis.

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Table of Contents

Abstract ............................................................................................................................. i
Dedication ........................................................................................................................ ii
Acknowledgments .......................................................................................................... iii
Table of Contents........................................................................................................... iv
List of Figures and Tables..............................................................................................x
Glossary ........................................................................................................................xiii
Abbreviations ...............................................................................................................xiv
Chapter 1 Introduction .................................................................................................. 1
1.1. Background to the Research ...................................................................................... 1
1.1.1 The Case of Syria ............................................................................................. 1
1.1.2. The Case of the UK ......................................................................................... 5
1.2. Research Focus .......................................................................................................... 7
1.3. Specific Research Aim, Objectives and Questions .................................................... 8
1.4. Research Methodology ............................................................................................ 10
1.5. Originality and Contribution to Knowledge ............................................................ 12
1.6. Structure of Thesis ................................................................................................... 13
Chapter 2 The Housing Market and Policy in Syria ................................................ 18
2.1. Introduction .............................................................................................................. 18
2.2. Syria as a Country .................................................................................................... 18
2.2.1. Population Growth and Urbanization .......................................................... 20
2.2.2. Age Structure ................................................................................................. 22
2.2.3. Gross Domestic Products (GDP) .................................................................. 23
2.2.4. Income Distribution ...................................................................................... 25
2.2.5. Household Size and Expenditure...................................................................26
2.2.6. Housing Types and Prices ............................................................................. 27
2.3. The Main Actors Responsible for Housing Supply in Syria .................................... 30
2.3.1. The Government ............................................................................................ 30
2.3.2. The Developer ............................................................................................... 30
2.3.3. The Contractor .............................................................................................. 31
2.3.4. The Professionals .......................................................................................... 31
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2.3.5. The Financer ................................................................................................. 32
2.4. Housing Delivery and Affordability in Syria ........................................................... 33
2.4.1. Main Aspects Affecting Housing Affordability in Syrian Market. ................ 33
2.5. Land Tenure System and Affordable Housing......................................................... 37
2.5.1. Official Procedures of Land Access in Syria ................................................ 38
2.6. Affordable Housing Policy in Syria ......................................................................... 41
2.6.1. An Overview of Housing Situation over the Past Five Decades ................... 43
2.7. The Affordable Housing Market in Syria ................................................................ 45
2.7.1. Informal Affordable Housing (informal settlements) .................................... 46
2.7.2. Formal Affordable Housing .......................................................................... 48
2.7.3. Affordable Housing Programmes Implemented in Syria .............................. 50
2.8. Reflection on the Syrian Context ............................................................................. 52
2.9. Summary and Conclusion ........................................................................................ 53
Chapter 3 Literature Review - Part 1: The Affordable Housing Production
Process- the UK Experience ......................................................................................... 56
3.1. Introduction .............................................................................................................. 56
3.2. Brief Overview of the Evolution of Housing Conditions and Policy Change in
Europe and the UK .......................................................................................................... 57
3.2.1. Post- war Period ........................................................................................... 57
3.3. Concept of Affordability, With a Focus on the UK ................................................. 61
3.3.1. Affordable Housing Definition and the Concept of Affordability ................. 61
3.4. Public and Private Agencies and their Role in Affordable Housing Provision ....... 64
3.5. The Main Elements of the Affordable Housing Production Process in the UK ...... 65
3.5.1. The Design Phase .......................................................................................... 65
3.5.2. The Tendering Phase .................................................................................... 70
3.5.3. The Construction Phase ................................................................................ 73
3.6. Reflections on the Literature Review ....................................................................... 75
3.7. The General Structure for Analysis .......................................................................... 77
3.8. Summary and Conclusion ........................................................................................ 81
Chapter 4 The Research Methodology ....................................................................... 83
4.1. Introduction .............................................................................................................. 83
4.2. Research Paradigms ................................................................................................. 83
4.3. Research Methods .................................................................................................... 86
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4.3.1. Quantitative Research Method ...................................................................... 86
4.3.2. Qualitative Research Methods ...................................................................... 88
4.4. Methodological Approach of this Research (Phase 2 of the Investigation) ............. 92
4.4.1. Phase 2 of the Investigation .......................................................................... 92
4.5. The Paradigm of this Research ................................................................................ 92
4.5.1. Description of the Research Design: Data Collection Methods and Data
Analysis Tools and Techniques ............................................................................... 96
4.6. Qualitative Data Collection Methods ....................................................................... 96
4.6.1. Literature Review .......................................................................................... 96
4.6.2. Field Trip Data Collection ............................................................................ 97
4.6.3. Interviews ...................................................................................................... 98
4.6.4. Sampling Strategy ....................................................................................... 100
4.7. Data Analysis Tools and Techniques ..................................................................... 101
4.7.1. Preliminary Data Analysis and Thematic Analysis .................................... 102
4.7.2. Secondary Data Analysis ............................................................................ 102
4.7.3. Editing and Coding Processes .................................................................... 103
4.7.4. Interview Transcripts .................................................................................. 104
4.8. Validity and Trustworthiness of Data Collected .................................................... 104
4.9. Triangulation .......................................................................................................... 105
4.10. Ethical Considerations ......................................................................................... 106
4.11. Limitations of the Research ................................................................................. 107
4.12. Conclusion ........................................................................................................... 108
Chapter 5 Data Analysis and Presentation of the Syrian Interviews Results ...... 110
5.1. Introduction ............................................................................................................ 110
5.2. Interview Survey .................................................................................................... 110
5.2.1. Developing the Questions ........................................................................... 109
5.2.2. Selection of the Interviewees ....................................................................... 110
5.2.3. Interviews .................................................................................................... 111
5.2.4. Data Coding and Analysis .......................................................................... 113
5.3. Interview- Results, Analysis and Discussion ......................................................... 114
5.3.1. Section A: General Definitions of Affordable Housing .............................. 114
5.3.2. Section B: The Design Phase ...................................................................... 116
5.3.3. Section C: The Tendering Phase ................................................................. 136
5.3.4. Section D: The Construction Phase ............................................................ 141
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5.4. Key Findings from the Interviews ......................................................................... 149
5.5. Conclusions ............................................................................................................ 157
Chapter 6 Literature Review - Part 2: The Procurement Process and Improving
Affordable Housing Construction Efficiency in the UK - Implications from a
Theoretical Perspective ............................................................................................. ..159
6.1. Introduction ............................................................................................................ 159
6.2. The Procurement Process as a Key Issue ............................................................... 160
6.2.1. Procurement Process Definition ................................................................. 160
6.2.2. Overview of the Evolution of the Procurement Process in the UK from the
Post-war Period until the Present ......................................................................... 161
6.2.3. The Movement towards Improving the Construction Industry ................... 165
6.3. An Overview of the Use of Procurement Processes in Affordable Housing Schemes
....................................................................................................................................... 169
6.3.1. The New Wave of Interest: Improving the Efficiency of Affordable Housing
Production Process ............................................................................................... 169
6.3.2. Rationales for Applying the Procurement Process in the Provision of
Affordable Housing Process ................................................................................. 171
6.4. Conditions for a successful procurement process .................................................. 175
6.4.1. Policy Clarity .............................................................................................. 175
6.4.2. Project Goals and Identification of Objectives ........................................... 176
6.4.3. The Roles and Experiences of the Actors .................................................... 176
6.4.4. Accountability and Transparency ............................................................... 177
6.4.5. Negotiation and Ability to Communicate .................................................... 178
6.4.6. Provision of Training .................................................................................. 178
6.5. Summary and Conclusion ...................................................................................... 179
6.6. Reflections on the Literature .................................................................................. 181
Chapter 7 The Procurement Processes and Efficiency Improvement - Implications
from Practical Experience .......................................................................................... 182
7.1. Introduction ............................................................................................................ 182
7.2. Interviews ............................................................................................................... 182
7.2.1. Developing the Questions ........................................................................... 183
7.2.2. Selection of Interviewees ............................................................................. 183
7.2.3. Data Coding ................................................................................................ 184
7.3. Interview- Results, Analysis and Discussion ......................................................... 186
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7.3.1. Efficiency Improvement ............................................................................... 186
7.3.2. The Procurement Processes ........................................................................ 191
7.3.3. Generic Tools to Measure Efficiency and Improve Performance ............... 198
7.3.4. Value for Money .......................................................................................... 200
7.3.5. Key Solutions for Improvement ................................................................... 203
7.4. Key Findings from the Interviews ......................................................................... 206
7.5. Conclusions ............................................................................................................ 208
Chapter 8 Relevance of the UK Experience to Improving the Efficiency of the
Affordable Housing Delivery Process in the Case of Syria (Part I) and Validation
Process (Part II) .......................................................................................................... 210
Part I ............................................................................................................................. 210
8.1. Introduction ............................................................................................................ 210
8.2. The Contexts Investigated ...................................................................................... 210
8.2.1. Reflections on the Existing Affordable Housing Supply Process in Syria .. 210
8.2.2. Reflection on the Existing Affordable Housing Supply Process in the UK..213
8.3. Existing UK Practice and its Potential for Use at Different Levels towards
Improvements in the Syrian Context ............................................................................ 215
8.3.1.Considerations at the Strategic Level of the Process (Housing System
Design) .................................................................................................................. 216
8.3.2. Considerations at the Operational Level of the Process (Housing System
Implementation) .................................................................................................... 223
8.4. Potential Role of Procurement Process and Other Key Elements in Improving the
Efficiency of the Current Process of Affordable Housing Supply in Syria .................. 225
8.4.1. The Procurement Process ........................................................................... 225
8.4.2. Efficiency Improvement ............................................................................... 227
8.4.3. Generic Tools to Measure Efficiency and Improve Performance ............... 228
8.4.4. Value for Money .......................................................................................... 229
8.4.5. Key Solutions for Improvement ................................................................... 230
8.5. Relevance of the UK Experience to the Case of Syria........................................... 231
8.6. Summary and Conclusion ...................................................................................... 234
Part II- The Validation of the Main Results of the Research ................................. 238
8.7. Introduction ............................................................................................................ 238
8.8. Validation Process and Selection of Respondents ................................................. 238
8.9. The Validation Process Results .............................................................................. 240
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8.9.1. Validation of the Research Results at the Strategic Level of the Process
(Housing System Design) ...................................................................................... 241
8.9.2. Validation of the Research Results at the Operational Level of the Process
(Housing System Implementation) ........................................................................ 251
8.9. 3. Comments on the Research Results ........................................................... 259
8.10. Discussion and Conclusion .................................................................................. 262
Chapter 9 Summary, Conclusions, Recommendations and Reflections .............. 267
9.1. Introduction ............................................................................................................ 267
9.2. Summary of the Main Findings of the Research .................................................... 267
9.3. Conclusions ............................................................................................................ 272
9.4. Recommendations for Future Research ................................................................. 275
9.5. Final Reflection on the Research Process .............................................................. 277
Appendices ................................................................................................................... 280
Appendix A ............................................................................................................... ....280
Participant Information Sheet..............................................................................281
Consent Form.......................................................................................................282
Interview Guide (Primary Field Work- Syria)......................................................283
Appendix B ....................................................................................................................290
Participant Information Sheet...............................................................................290
Consent Form........................................................................................................291
Interview Guide (the UK) ......................................................................................292
Sample of the Interview Transcriptions.................................................................296
Appendix C ....................................................................................................................308
Interview Guide (Validation Process- Syria) ........................................................308
Appendix D....................................................................................................................317
Publications............................................................................................................317
List of References.........................................................................................................318

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