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Proceedings

AMIDDS - Architectural
Management & IDDS

Selected papers presented at the CIB World Building Congres


Construction and Society, Brisbane 5-9 May 2013

AMIDDS
Architectural Management & IDDS;
Improving Societal Performance of Architectural Design through Better
Collaboration and Integration with the Aid of Information Technology and
Knowledge Management
Papers from the Designated Session Architectural Management & IDDS that took
place as part of the CIB World Building Congress Brisbane, Australia May 2013,
under the reponisiblity of Task Groups W078 Information Technology for
Construction; W096 Architectural Management; W102 Information & Knowledge
Management in Building; IDDS: CIBs priority theme Integrated Design and Delivery
Solutions
Editors:
Assoc. Prof. dr. ir. Matthijs Prins (Coordinator CIB W096 Architectural
Management).
Prof. Robert Amor (Coordinator CIB W078 Information Technology for Construction
and Joint Coordinator CIBs priority theme Integrated Design and Delivery
Solutions);
Assoc. Prof. Robert Owen (Joint coordinator CIBs priority theme Integrated Design
and Delivery Solutions);
Prof. Charles Egbu (Joint coordinator CIB W102 Information and Knowledge
Management in Building);
Dr. Malik M A Khalfan (Joint coordinator CIB W102 Information and Knowledge
Management in Building)
Main Organizer:
Prof Stephen Kajewski and Dr. Karen Manley, WBC Main organizers, Queensland
University of Technology.
CIB Publication 380

W078 Information Technology for Construction


In general the Commission will: organize meetings (physical or virtual) on regular
basis; promote international collaboration, research and innovation within the scope
of the Working Commission; provide a platform for exchange of ideas and results of
research; produce tangible outputs in the form of proceedings and/or special
publications like state of the art reports, roadmaps, etc.; interact with CIB Priority
Themes and other relevant CIB Commissions as appropriate; provide regular reports
about activities for publication in the CIB Newsletter and contribute to the tri-annual
CIB World Building Congress.
The scope of W078s work is broad in terms of the design, construction and
occupation and occupancy of constructed facilities, but primarily it relates to the
integration and communication of data, information and knowledge in the facilitys
life cycle.
Information and Communication Technologies (ICT) are relevant to all aspects of the
workplace and are seen as a major enabler of productivity improvement as well as
more sophisticated and integrated design and construction. Against this background
the Commission focuses on:
Development and application of integrated IT throughout the life-cycle of the
design, construction and occupancy of buildings and related facilities
Demonstration of capabilities developed in collaborative research projects on
Construction IT.

W096 Architectural Management


The Commission's Objectives are:
to determine where information related to architectural management lies and the
means of retrieval, with particular regard to user requirements
to establish the most effective ways in which designers may meet client needs
to improve communication between procurement and implementation of the design
process in order that supply may accurately reflect demand
to seek to translate user requirements into architectural concepts and provision of
tools for implementation
to promote excellence in architectural management, practice and design
to encourage the integration of design values in design and delivery practices.
W102 Information & Knowledge Management in Building
Information is an all-pervading ingredient in building, common to research and
practice. By giving proper consideration to the flow of information, research results
can be usefully translated into innovation and further adapted to provide the
knowledge-base for best practice. In an environment in which the tools for making
information available are developing at breakneck speed, it is necessary to manage the
whole spectrum of information forms in a way that reflects the realities of decisionmaking in modern building practice.
In this context the Objective for the Working Commission is to cover concerns that
are related to information and knowledge management, both theoretical and practical.
Special points of attention are the following:
interface between general information and the building process and especially the
dysfunction in the flow of information between researchers and practitioners. The
questions why research results are not put into practice, and how research results and
feedback information can be converted and refined to be of practical use will be
considered
contemporary information systems bearing on the information needs of the building
industry.
IDDS: CIBs priority theme Integrated Design and Delivery Solutions
This CIB theme is aimed at transforming the construction sector through the rapid
adoption of new processes, such as Integrated Project Delivery (IPD) and Lean
Construction and procurement, together with Building Information Modelling (BIM)
and automation technologies, using people with enhanced skills in more productive
environments.
The development of IDDS is about radical and continuous improvement, rather than
development of a single optimal solution. The Research Roadmap for IDDS
(Publication 370) is available at http://cibworld.xs4all.nl/dl/publications/pub_370.pdf

Preface
For the CIB 2013 World Building Congress, Construction and Society, several groups
decided to merge together under the title Architectural Management & IDDS;
Improving Societal Performance of Architectural Design through Better Collaboration
and Integration with the Aid of Information Technology and Knowledge
Management. This stream of the congress was organized on behalf of:
CIB W078 - Information Technology for Construction
CIB W096 - Architectural Management
CIB W102 - Information & Knowledge Management in Building
CIBs priority theme Integrated Design and Delivery Solutions (IDDS)
New information, communication and knowledge management technologies are
drastically influencing architectural design. The way architects collaborate with other
parties, how they exchange information and share knowledge increasingly is changing
traditional procedures and roles. This is enforced by a range of societal pressures
directed at delivering buildings with proven and guaranteed quality and performance
throughout the life span. This asks for better integration of knowledge in the process
and better collaboration, whether or not forced by integrated procurement, resulting in
better societal performance in its widest sense. In this special session of CIBs World
Building Congress 2013 we explore the issue of improving societal performance of
architectural design through better integration and collaboration by means of
information, communication and knowledge management processes, techniques, and
technologies.
Abstracts were invited concerning improving societal performance of architectural
design through better integration and collaboration by means of information
communication and knowledge management processes, techniques, and technologies.
Three main themes were set:

The integrated architectural design

Design process integration and collaboration

Improving societal performance


Over ninety abstracts were received, from which more than thirty final papers were
selected for presentation and publication.
The AMIDDS organizers would like to thank all those involved in making this special
stream possible. First of all we would like to thank Queensland University of
Technology and Prof. Stephen Kajewski and his staff and colleagues for organizing
CIBs World Building Congress and for providing us with the opportunity to develop
our stream within the borders of this main event. Secondly wed like to thank the
AMIDDS scientific review panel for conscientiously doing their invaluable work.

Last but not least we would like to express our sincere thanks to all those who
provided their research outcomes and contributed to the AMIDDS sessions.
Prof. Robert Amor (Coordinator CIB W078 Information Technology for Construction
and Joint coordinator CIBs priority theme Integrated Design and Delivery Solutions);
Prof. Charles Egbu (Joint coordinator CIB W102 Information and Knowledge
Management in Building);
Dr. Malik M A Khalfan (Joint coordinator CIB W102 Information and Knowledge
Management in Building);
Assoc. Prof. Robert Owen (Joint coordinator CIBs priority theme Integrated Design
and Delivery Solutions);
Assoc. prof. dr. ir. Matthijs Prins (Coordinator CIB W096 Architectural
Management).

AMIDDS International Scientific Committee:


Prof. Dilanthi Amaratunga, University of Salford, UK
Prof. Robert Amor, The University of Auckland, New Zealand.
Dr. Dipl-Ing Jakob Beetz, Eindhoven University of Technology, The Netherlands.
Prof. Per Anker Jensen, Danmarks Tekniske Universitet, Denmark.
Prof. Peter Barrett, University of Salford, UK
Prof. Dino Bouchlaghem, Nottingham Trent University, UK.
Prof. Robin Drogemuller, Queensland University of Technology, Australia.
Prof. Charles Egbu, Salford University, UK.
Prof. dr. Stephen Emmitt, Loughborough University, UK.
Cecilie Flyen Oyen, SINTEF, Norway.
Prof. dr. Bob Giddings, Northumbria University, UK.
Assoc. prof. Rob Geraedts MSc. Delft University of Technolgy, The Netherlands.
Ass. prof. dr. Bee Hua Goh, National University of Singapore, Singapore.
Prof. dr. ir. Joop Halman, Twente University of Technology, The Netherlands.
Assoc. Prof. dr. Herm Hofmeyer, Eindhoven University of Technology, The
Netherlands.
Pekka Huovinen, Aalto University, Finland
Prof. Pekka Huovila, University of Salford, UK.
Prof. dr. Abdul Samad Kazi, VTT, Finland.
Dr. Malik M.A. Khalfan, RMIT, Australia.
Prof. Arto Kiviniemi, University of Salford, UK.
Ass. prof. dr. Andrew McCoy, VirginiaTech, USA.
Jelle Koolwijk, Msc, Delft University of Technology, The Netherlands
Richard Lorch, Editor-in-Chief, Building Research & Information, UK
Dr. Sebastian Macmillan, University of Cambridge, UK
Dr. Tarja Mkelinen, VTT, Finland.
Prof. dr. Silvio Melhado, University of So Paulo, Brazil
Prof. dr. Anita Moum, Norwegian University of Sciende and Technology, NTNU,
Norway.
Assoc. prof. dr. ir. Matthijs Prins, Delft University of Technology, The Netherlands
Prof. dr. George Ofori, National University of Singapore, Singapore.
Assoc. Prof. Robert Owen, Queensland University of Technology, Australia.
Dr. Hedley Smyth, University College London, UK.
Prof. dr. Walid Thabet, Queensland University of Technology, Australia.
Prof. Paolo Tombesi, University of Melbourne, Australia.
Assoc. prof. dr. Chun-Ta Tzeng, National Cheng-Kung University, Taiwan
Prof. George Yao, National Cheng-Kung University, Taiwan.
Prof. dr. ir. Hans Wamelink, Delft University of Technology, The Netherlands.
Prof. ir. Wim Zeiler, Eindhoven University of Technology, The Netherlands.
Prof. Ma Zhiliang, Tsinghua University, China.

CONTENT

SECTION 1: The integrated architectural design

5D BIM: Creating Cost Certainty and Better Buildings
1
David Mitchell

An evaluation tool as a means of improving architectural design
11
quality: the results
Bob Giddings, Monika Sharma, Paul Jones and Phil Jensen

Contribution for Integrating Energy Simulation into the Building Design 24
Process
Nathlia de Paula, Vanessa Silva and Silvio Melhado

A Conceptual Decision Making Model For Design Information Maturity
34
Raymond Zou, Roger Flanagan and Llewellyn Tang


The Role of the DQI in Managing Stakeholder Requirements in
47
Construction Projects

John Kamara

Comparing Safety in Design Approaches and Tools in the US, UK, and
59
Australia
Kihong Ku


Finite Element Deletion and Topology Optimisation for Building
71
Structural Optimisation

Herm Hofmeyer and Juan Manuel Davila Delgado

SECTION 2: Design process integration and collaboration

BIM at small architectural firms
83
Bert Leeuwis, Matthijs Prins and Alexander Pastoors

Critical success factors in multi-organisational interdisciplinary
95
construction projects

Pavni Sahni Kohli and Sebastian Macmillan

BIM: Rules of Engagement
107
David Mitchell, Scott Lambert

Strategies, Guidelines and Project Level Leadership as Methods
112
for IDDS Practices in Transition

Tarja Mkelinen, Juha Hyvrinen, Jutta Peura and Jussi Rnty

A framework for designing sustainable real estate developments
124
using Quadruple Net Value Analysis and Building Information Modelling
Geoffrey Booth, Mark Clayton and Jong Bum Kim

Affordances of Building Information Modeling in Construction:


A Sequential Analysis
Christoph Merschbrock

Integrated approach for development of automatic building
permission systems
Eilif Hjelseth

Assessment of the Building Code of Australia to Inform the
Development of BIM-enabled Code-checking Systems
Shan-Ying Shih, Willy Sher and Giggins Helen

Automated Building Code Compliance Checking - Where is it at?
Johannes Dimyadi and Robert Amor

Is the Age of Facility Managers Paper Boxes over?
Pouriya Parsanezhad and Vino Tarandi

Rethinking the Build Process for BIM Adoption
Esra Kurul, Henry Abanda , Joseph HM Tah, Franco Cheung

The Process Of Implementing Project Management
and BIM In The Colombian AEC Industry.
Mario Flrez, Jos Guevara, Ana Ozuna, Hernando Vargas

Application of Relationally Integrated Value
Networks in the Implementation of BIM for Better
Life Cycle Considerations of Buildings
Aoxiang Ren, Mohan M Kumaraswamy, Kelwin Wong and S. Thomas Ng

Exploring the conflicts between BIM and existing
project processes in Hong Kong
Aoxiang Ren and Mohan M Kumaraswamy

Building Information Modelling: An International
survey
Matthew Gray, Jason Gray, Melissa Teo, Seokho Chi, Fiona Cheung

Integrating Building Information Modelling and
Augmented Reality for Construction Projects in Oil
and Gas Industry
Xiangyu Wang, Martijn Truijens, Lieyun Ding, Lei Hou, Ying Wang,
and Matt Lavender

Hypothesis Analysis of Building Information
Modelling Penetration in Malaysian Construction Industry
Wallace Imoudu Enegbuma and Kherun Nita Ali

136

148

160

172
186
198
210

222

232

241

255

263

How Important is Inter-organizational Collaboration


to the Success of Construction Project BIM
Implementation
Wei Lu, Dan Zhang, Steve Rowlinson

SECTION 3: Improving societal performance

Whole moves Technology for Historic Building
Preservation and the Decision Making Process
Tz-Ling Huang and Chun-Ta Tzeng

BIM-supported planning process for sustainable buildings
Process Simulation and Evaluation through Exploratory Research
Kovacic Iva, Oberwinter Lars and Mller Christoph

The mandatory and voluntary approaches to sustainability: BASIX vs
BEAM Plus
Daniel C. W. Ho, Janet X. Ge and Ervi Liusman

Householders' Maintenance System for Former Rental Houses in the
Historic Urban Structure of Budapest
Gergely Molnarka

Making use of knowledge on the construction site
Mats Persson

Developing Self-Directed Learning Strategy for a Construction Project
Management Course
Changxin Cynthia Wang

A Sustainable Urban Collaboration Hub SUCH
Vino Tarandi

Rural Water Supply Projects and Sustainable Development
Paulinus Woka Ihuah and Iyenemi Ibimina Kakulu

Residential real estate education and globalisation in Australian
real estate markets and practices
Po-Jui Raymond Wu and Chris Eves

277

289

300

312

326

340
352

364
376
390

5D BIM: Creating Cost Certainty and Better


Buildings
David Mitchell1
Abstract
This paper looks critically at where BIM implementation is on the pathway and sets out the
opportunities that arise when 5D (the linking of cost information to a 3D model) is
considered to be more than just a quantity take-off exercise. It proposes a methodology,
from a practitioners perspective, for applying 5D BIM to the design and construction of
projects with the goal of delivering better buildings with cost certainty. A fundamental of the
methodology is to use existing, proven technologies to overcome the problems that exist
when the onus is on the BIM author to code model objects in a fashion that estimators can
understand. The purpose and intention of this paper is simply to provide context and to start
the discussion on what 5D BIM is with a view to developing a mainstream methodology that
can be included within a BIM execution plan for a project.
Keywords: 5D BIM, Collaboration, Cost Strategy, Living Cost Planning, Lean
Practices.

1. INTRODUCTION
To date, a lot of the focus on Building Information Modeling (BIM) implementation has simply
been about design firms learning how parametric 3D modeling software works.
Design firms have been learning about the capabilities of their chosen BIM authoring tool,
gauging the benefits to the firm, achieving a level of confidence in an isolated way and
exploring collaborative work flows where information is exchanged in two directions.
Working against an even more collaborative approach is a belief that BIM can only add value
to large projects and when Integrated Project Delivery (IPD) is the preferred delivery system.
Whilst integration is the long term outcome, industry is currently grappling with the issues
surrounding collaboration and is now starting to solve the stumbling blocks of liability,
ownership and protection of data and intellectual property. The development of BIM guides
and execution plans have made it possible to define expectations and clearly specify design
deliverables at the various design stages.
While these developments have been extremely encouraging in the area of 3D design very
little development has happened in the fields of 4D - linking time and scheduling data; and

Partner & 5D Quantity Surveyor; Mitchell Brandtman; 29 Woodstock Road Toowong Qld 4066
Australia; dmitchell@mitbrand.com.

5D - linking cost data to the 3D model. For instance the Veterans Affairs (VA) BIM guide
simply refers to a 4D BIM - phasing plan and the discretionary additional use of 5D Material take-offs and cost estimating.
For BIM to be truly successful in providing better buildings then all of the Ds need to be
embraced. This paper will concentrate on 5D and what it can do, so that open discussion
can occur and as an industry we can shift to practicing 5D and shaping it as a standard
practice for the future.
Change and reform in the construction industry is long overdue, the catalysts for change are
here and these will be the accelerators that drive the BIM process to become the industry
norm rather than the exception.

2. CATALYST FOR CHANGE


The Global Financial Crisis and world events have made development and construction
uncertain. World thinking has changed our behaviours. For the first time in decades people
are saving, credit cards are being avoided and there is a growing sense of frugality.
When a consumer decides to spend, it seems that a saved dollar is more valuable than a
borrowed dollar and that a saved dollar wont be wasted. Todays consumers are
extremely well researched and wont be rushed because there is no compelling reason to
buy. There is no fear that prices will rise because competition is rife, in fact delaying the
purchase may mean that the product gets cheaper.
So it makes sense to take the time, to be certain that the product is reasonably priced, is of
the highest quality and is supported with a strong level of service.
Previously this delay or slowness to purchase was seen as a lack of confidence in the future
something that will pass but now there is a growing realisation that structural change is
occurring and that these conditions are here to stay. There is a new paradigm in play.
For the development and construction industry it is particularly difficult to meet this paradigm
because past experience tells us that construction is expensive and it is uncertain. Often a
customer does not really visualise what is being built until it is built and there is an
expectation that there will be delays and cost increases.
Successful building is about creating certainty - in design, buildability and cost. Wisdom,
intelligence and technology can create certainty by getting back to basics and making
grounded decisions based on facts.

3. BIM PATHWAY
At present projects can confidently be managed using a staged and independent process of
inputting data into independent models with the parties collaborating but not integrating to
use the software in a beneficial way. For example, architects can set their design, engineers

can create the structural framework and air-conditioning contractors can submit their
components all independent of each other using different authoring tools. Software, like
Navisworks and Solibri, are then used to bring each model together to deliver a coordinated
design.
Andrew Gutteridge worked with the Australian Institute of Architects to champion the BIM
pathway to provide a logical learning curve for the industry to move from working in isolation
to collaboration. The culmination of their work was production of a diagram Towards
Integration which was later included within the CRC Construction Innovation publication National Guidelines for Digital Modelling.
Using this diagram as a reference and applying it to the Australian industry, it was found that
the mainstream uses 3D modeling in an isolated way (1B) and the cutting edge design
teams are acting in a collaborative way (2A one-way and 2B two-way collaboration). Rather
than spending time judging whether what is being done now is BIM or not BIM, it is far more
important to acknowledge that industry is practicing and improving and that this is just part of
the BIM pathway.
Industry design professionals are mostly engaged in the use of parametric modeling in one
form or another but sceptics have a lack of trust in the softwares intelligent design to fully
integrate the model for each element.
Construction professionals also perceive a lack of protection of the input of information and
data, if and when it is changed, by who and how it is tracked. What is important to remember
is that even at 2A and B the duties and working practices for two dimensional work remain
the same for three dimensional work.
At this point on the pathway it doesnt matter how you relate to parties throughout design,
but rather that you do and that the obligations and design outcomes are clear.
Development of the BIM Execution Plan (BEP) has
provided this clarity. The BEP defines the scope of
design work, the Level of Development (LOD) and
the two-way exchange of information for all parties
to the project including the quantity surveyor (QS),
cost engineer or estimator and can be clearly
depicted on three scales refer figure 1.

Figure 1: BIM Execution Plan Cube

4. CREATING COST CERTAINTY IN 5D


Developing certainty in cost, design and buildability reduces risk and creates better projects
with sustainable profits. We know that 3D modeling and strong design coordination creates
certainty in what is being built and that the 5th Dimension, or 5D, is all about cost. While
there is considerable discussion and collaboration between different design partners often
5D is reduced to just the simple one liner of Quantity Take Off and attention is placed on
coding by the designer with an expectation that later the costing process will be made
easier.
This approach means that several opportunities are missed:
1. The costs are not known until the model reaches LOD 300 or greater.
2. The design itself is not tested at an early stage for functional efficiency or benchmarked
against known elemental costs.
3. There is no integrated cost plan and the design team is not provided with real-time cost
feedback as the design progresses.
4. The costing process is still a separate exercise which is not transparent.
An alternative and better approach is for the cost planner to push accurate cost codes into
the model information and then to extract all of the information that is needed to complete a
thorough cost estimate via a 5D BIM authoring tool. Part of this approach includes making
allowances for work that has not yet or will not be modeled.
This approach means that all of the missed opportunities will be delivered and the result is
a better building because the available money can be targeted at the most important
features of the building design in a transparent way that builds trust amongst all project
partners.

5. 5D QS AND COST PLANNER


The modern QS is taking the traditional QS role to the next level, utilising models to provide
detailed and accurate 5D estimates and living cost plans. This assistance is provided to
projects at any phase from concept design through to construction and completion.
The ability to complete a series of estimates for various designs at the early phase of a
project is paramount because this is when the dye is set, planning evolves and cost overruns
are avoided. If the scope of a project matches the budget at the outset then constant
redesign is avoided and the priority features of the project are included.
It is well established that early decisions have the highest level of influence on project
outcomes at the least cost. This is because redesign, construction delay and disruption,
change order and rework costs are avoided.

The technique is simple, basically an estimate is done, then its elemental costs are
benchmarked and the functional performance of the design is analysed and tested against
competing projects. The QS then provides feedback to the concept designers, a new
scheme is produced and the process is completed again.
Once the project design passes this budget test and proving up phase then the Cost Plan is
established for the project and this recipe becomes the basis for managing and monitoring
the fluctuating construction costs during design.
A 5D QS can do this extremely quickly, an endless number of times and in a complexity of
combinations. For a 2D QS this is not possible because project schedules do not allow
enough time for endless manual take-offs and even if there was, then the re-measurement
process is too labour intensive to be viable, the combinations that need to be considered are
too complex and there are too many variables for a QS to complete the required what if
style calculations manually.
The traditional process is to complete the design to a particular stage i.e. schematic design,
developed design, etc.; then freeze further design until an estimate is completed and
permission is granted to proceed to the next design stage.
Today there are modern techniques for the 5D QS to use within the traditional frameworks to
set cost strategies and a 5D Cost Plan (or Living Cost Plan). These techniques can be
blended within the traditional design and construction phases as follows:

6. CONCEPT DESIGN
At the feasibility and concept design phase, a cost strategy is set that considers all aspects
of the project, the clients brief, the designers vision and the site constraints. The strategy is
developed after first completing a concept estimate and then testing its elemental costs by
benchmarking and the design efficiency by analysing its functional performance.

6.1 Initial Concept Estimate LOD 100


The initial concept estimate is a fast and effective way to determine the cost of a project and
allow decisions to be made quickly and with certainty.
Working with the overall massing model (AIA LOD 100) in Sketchup, Revit or an IFC format,
the 5D QS prepares a concept estimate that is presented in an elemental format and sets
out each elemental unit rate and quantity. It is understood that not everything is modeled and
the 5D QS uses experience to ensure that the total project is included within the estimate.
This is done by supplementing the model information with 2D on screen measurement
where necessary.
This concept estimate becomes the basis for recompiling the estimate to consider alternative
designs during the proving phase of the concept design.

6.2 Elemental Cost Benchmarking


The 5D QS uses cost intelligence from past experience and actual project cost data to
critique, review and compare the elemental costs contained in the initial concept estimate to
other similar or competing projects. This exercise identifies inefficiencies and highlights
opportunities that will benefit the project bottom line. Cost benchmarking is done on an
elemental basis because this provides the most consistent results; examples of building
elements include substructure, columns, upper floors, staircases, roof, external walls, etc
and are fairly consistent around the globe. Some of the different elemental formats include
UniFormat II (USA), UniClass (UK) or ACMM (AUS).
By way of example a concept estimate containing a rate of $354.90 per m2 for columns and
upper floors would exceed the actual average costs of $279.09 per m2. If the design is made
more efficient a cost saving of 3.6% against the estimated total building rate of $2,078.57 per
m2 is achieved.

6.3 Analysis of Functional Performance


In a similar fashion the functional performance and efficiency of a building is analysed
against actual project performance data to further identify inefficiencies and highlight
opportunities to create further savings.
In Table 1, the example concept design for a planned apartment building contains 36
apartments with an average area of 168.9 m2. This exceeds the completed project average
of 101.9 m2. It is also apparent that much of the inefficiency is occurring within the common
spaces and car park areas which are not income producing. Correction of these
inefficiencies would improve the building cost performance by 20% without effecting the
saleable area and income.
Table 1: Functional Performance Analysis
Planned
Project
Concept
Design

Actual
Completed
Projects
(Average)

Residential Area / Unit

98.5m2

65.3m2

Common Area / Unit

30.9m2

11.6m2

Carpark Area / Unit

39.5m2

25.0m2

168.9m2

101.9m2

Residential Area / Unit

98.5m2

65.3m2

Balcony Area / Unit

33.5m2

12.9m2

132.0m2

78.2m2

Building Area / Unit

Saleable Area / Unit

7. DETAILED DESIGN
At detailed design, the goal of the 5D QS is to produce a schematic design estimate with
dynamic links to the model information that will form the foundation for the living cost plan
that is used for developed design and bidding. The living cost plan becomes the basis for
providing updated estimates every time the model information is changed that can be used
for forecast final cost, budget variances, value management, finance, funding and final
investment decisions or in negotiations with a contractor.

7.1 Schematic Design LOD 200


Working with the schematic design model (AIA LOD 200) in Revit or IFC format, the 5D QS
prepares a sketch design cost plan that is presented in an elemental format stating the
generic construction materials, finishes and services specifications.
The 5D QS maps the model and adds an elemental pricing code to the model information. It
is helpful if the author has included UniFormat II (USA), UniClass (UK) or ACMM (AUS)
codes in the model information but often it is much quicker and more accurate if the 5D QS
adds the preferred codes for the task.
Dynamic links are then created between the generic architectural and structural model
elements, the 5D QS elemental rate library and the selected project template that is
contained within the 5D BIM authoring tool such as CostX.
It is understood that not everything is modeled and the 5D QS ensures that all of the work is
estimated by supplementing with 2D on screen measurement where necessary. Trust and
transparency is supported by providing a fully functioning and executable CostX reader
version of the sketch design cost plan that is easily interrogated because of the dynamic
links between the models, elemental areas and rate library. This executable file becomes the
basis for the living cost plan which can be recompiled to consider alternative designs,
different construction methods, materials and generic engineering systems during
development of the schematic design and any time the model information is revised.

7.2 Developed Design LOD 300


Working with the developed design model (AIA LOD 300) in Revit or IFC format, the 5D QS
prepares developed design cost plans that are presented on a sub-elemental and trade
basis, stating the specific construction materials, finishes and services specifications. The
final estimate states each sub-elemental unit rate and quantity.
At this stage an extra level of costing detail is added to the model information. This can be
done via an instance parameter and then the model is re-mapped where necessary to create
further dynamic links between the specific model assemblies (including architectural,
structural, civil and MEP), the detailed rate library and the selected project template that is
contained within the 5D BIM authoring tool. Again the model information is supplemented
with 2D on screen measurement and the executable file continues to be the living cost plan

This detailed information can factor into the different stages of the design and construction
process and helps to consider in detail the labour, materials, equipment, and subcontractor
costs for each building element.

7.3 Coding
In circulation today there are a number of different coding systems but there is not a
published industry code that is suitable for becoming a price code which will automatically
link a rate to a specific system or assembly. UniFormat II is one example and while it is close
to achieving this goal it has insufficient levels to specifically identify the material and fixing
condition. For these reasons the 5D QS uses its own specific code for the material and fixing
conditions which is pushed into a model as an instance parameter.

8. QUANTITY TAKE-OFF AND BIDDING


For design, bid, build procurement the rate library is removed from the executable file so that
what remains is a bill of quantities that is easily interrogated by contractors and
subcontractors because the dynamic links allow each quantity to be viewed in the model.
The file is also recompiled in a trade format so that the quantities reflect the scope for each
subcontract. Often the building information comprises individual models and the 5D QS uses
tools like Navisworks and Solibri to coordinate visually. MEP forms approximately 30% of the
total project cost so special care is needed during this phase to ensure that quantities for
mechanical, electrical, hydraulic, fire and transportation services are actively coordinated
with the building trades.

9. CONSTRUCTION
9.1 Contractors Priced Bill of Quantities LOD 300
Working with the construction model (AIA LOD 300) in Revit or IFC format, at the
commencement of construction, the 5D QS attaches the contractors offered rates and
prices to the executable file. The contractors priced bill of quantities is presented on a trade
and zone basis and states the description for each item (including the specific construction
materials, finishes and services specifications), the quantity and the offered rate. In some
instances re-mapping of the model is necessary to create further dynamic links between the
model zones and specific assemblies.

9.2 Change Orders, Variations and Payments


The dynamic links mean that variations and change orders can be calculated reliably, easily
and quickly every time a change occurs in the model information. Progress payments are
also calculated from the executable file by isolating the completed zones by trade and
recompiling the quantities to produce a progress payment calculation that is transparent and
easily interrogated. During construction the model will evolve from LOD 300 to LOD 400 as
changes occur on site and shop drawings are developed. The 5D QS continually coordinates

the construction model with the contractors priced bill of quantities and provides cost
updates, budget performance and variances through each stage of construction.

9.3 Cost Integrated Construction Model LOD 400


As construction progresses the model information is changed to produce the revised
documents that are necessary for the construction process this information is stored in the
Model software. The 5D QS also changes the cost information to reflect the actual contract
sum and any cost adjustments and payments that occur during construction this
information is stored in the 5D BIM authoring tool.

9.4 As-Built Cost Data & Facilities Management LOD 500


Once validation and synchronization is completed between the as-built (AIA LOD 400 or
500) Model and the FM system, The 5D QS pushes the project as-built cost data into the
Model instance parameters. The as-built cost data packet usually comprises several different
pieces of information including the replacement cost at the base date, manufacturers
expected life for replacement, effective life for depreciation and estimated running cost for
operating budgets. Care is taken to omit construction costs that will not be incurred again
such as demolition of pre-existing buildings.
This as-built cost information is then ready to be integrated into the Facility Maintenance
System and FM database for use throughout the life cycle of the project.

10. CONCLUSION
The 5D QS has developed specialist technology skills which compliment traditional cost
planning techniques that set strategies from preliminary designs when plans evolve and cost
overruns are prevented. 5D BIM provides the ability generate savings and efficiencies and to
drive costs for buildings, infrastructure, heavy engineering or land development in the
direction that is wanted. When negotiating with contractors and subcontractors the ability to
visualise quantities creates trust and is relied upon.
5D BIM is here and finally there is traction to make 5D an integral part of the QS tool kit and
every project to create cost certainty. It is one thing to use the technology but on its own it
will not generate the certainty that customers desire.
This requires the wisdom and intelligence of a 5D QS and cost planner. So while its the way
of the future and a must for all projects going forward, it is critical to work with people who
know what they are doing and know how to leverage it to get the best results for the building
from initial concept through to procurement and on-going management of post construction.

References
1. Building Cost Information Service RICS. (2011). RICS 2011 Building Information
Modelling Survey Report. London: Royal Institution of Charted Surveyors

2. Built Environment Innovation and Industry Council. (2010). Productivity in The Buildings
Network: Assessing The Impacts of Building Information Models. Sydney, Australia:
Allen Consulting Group.
3. Cooperative Research Centre for Construction Innovation. (2009). National Guidelines
for Digital Modelling. Brisbane, Australia: Icon.Net Pty Ltd.
4. Cannistraro, M. (2010, May). Savings Through Collaboration: A Case Study on the Value
of
BIM.
Journal
of
Building
Information
Modeling.
(Available
Online
http://www.wbdg.org/pdfs/jbim_fall2010.pdf
5. Eastman, C., Teicholz, P., Sacks, R., Liston, K. (2011). BIM Handbook A Guide to
Building Information Modeling for Owners, Managers, Designers, Engineers, and
Contractors, second edition. John Wiley & Sons inc: Hoboken, New Jersey.
6. McAdam, Brodie (2011, April). Could Building Information Modelling Be the Next New
Thing for JCT Contracts? JCT News, 10 11.
7. NBS and RIBA. (2012). National BIM Report 2012. London: NBS.
8. Paulson, Boyd.C. (1978) 'Designing to Reduce Construction Costs', (ed) ASCE San
Diego Conference, April 1976, pp. 587 - 592.
9. Wagner, Tom (2011, August). Transforming Data into Wisdom For Profit, Estimating
Today, 7.

10

An evaluation tool as a means of improving


architectural design quality: the results
Bob Giddings1, Monika Sharma2, Paul Jones3, Phil Jensen4
Abstract
Development of the Architectural Design Quality Evaluation Tool was based on a live
research project with a Metropolitan Council in the North of England. The aim was to
improve the quality of design in residential sheltered housing, procured through the Private
Finance Initiative; and has been applied to a programme that will see the replacement of the
Councils entire sheltered housing stock. The Private Finance initiative has been subjected
to particular criticism for its lack of design quality. The Research Team worked alongside the
Local Authority Project Team, and together they developed and refined the Tool through the
competitive dialogue phase of the PFI programme. At the CIB World Congress 2010, the
authors reported on the development of the Tool (Paper ID: 535). This paper will briefly
review the nature of evaluation tools and this tool in particular, before analysing its use in
practice and the results. The Tool has two functions. It is a substantial part of the
assessment process, which selected the preferred bidding consortium from the original six
bidders, through a series of stages. However, it was also directed at improving the quality of
all the submitted designs through an iterative process. There are several mechanisms
available for evaluating the performance attributes of buildings and these are important, but
few also tackle the less tangible amenity attributes, which are vital to the feeling of home.
This Tool emphasises the amenity attributes without neglecting performance. The complete
Tool and User Guide can be found on the Homes and Communities Agency website under
Design and Sustainability at http://www.homesandcommunities.co.uk/architecture-designquality-evaluation-tool
Keywords: sheltered housing, architectural design quality, evaluation of design
quality, private finance initiative, local authority.

Professor, Department of Architecture and the Built Environment, Northumbria University, Wynne
Jones Building, Newcastle upon Tyne, NE1 8ST, UK, email:bob.giddings@northumbria.ac.uk
2
PhD Student, Department of Architecture and the Built Environment, Northumbria University, Wynne
Jones Building, Newcastle upon Tyne, NE1 8ST, UK, email:monika.sharma@northumbria.ac.uk
3
Professor, Department of Architecture and the Built Environment, Northumbria University, Ellison
Building, Newcastle upon Tyne, NE1 8ST, UK, email: p.jones@northumbria.ac.uk
4
PFI Procurement Manager, North Tyneside Council, North Tyneside Homes, Quadrant West,
Silverlink North, Colbalt Business Park, NE27 0BY, UK, email: Phil.Jensen@northtyneside.gov.uk

11

1. Introduction
1.1 Summary of CIB World Congress 2010 paper: Architectural Design Quality
in Local Authority Private Finance Initiative Projects (Giddings et al, 2010).
Since the 1990s, when the Private Finance Initiative was developed as the primary method
for delivering major public capital projects, it has been criticised for lack of design quality in
the buildings that it produced. The British Government became sufficiently concerned about
this deficiency that it encouraged the Commission for Architecture and the Built Environment
and the Office of Government Commerce to develop recommendations to improve design
quality; and it was greatly assisted by the 2004 EU Directive that enabled authorities to
discuss all aspects of the proposals with the bidders. This paper reported on a research
project being carried out with a metropolitan local authority in North of England, which is
replacing its entire sheltered housing stock in one Private Finance Initiative project. The
paper reviewed the Private Finance Initiative management processes in relation to
architectural design quality at each of the selection stages, including the generation and
application of the design assessment criteria, and the role of user groups; and evaluated the
outcomes against the objectives of maximising design quality within workable financial
models. The methodology was that the researcher was based in the local authority project
team, and has therefore been able to use participant observation techniques in the
management processes that include competitive dialogue and user consultation. The
principal aim of the local authority is that it should receive these buildings as assets, rather
than liabilities at the end of the 30 year period. It was concluded that a design evaluation
tool would need to be employed to ensure that design quality was being improved
throughout the bidding process. Having assessed the existing design quality evaluation
tools, it was concluded that none of them suited the PFI selection process. A new tool
based on the hierarchical model, was generated mainly from academic literature. It was
specifically devised to become increasingly more detailed at each stage. In its stage 3 form,
the tool was making a significant contribution to the final selection of the consortia, who will
undertake this ground-breaking project for the Council.
The novelty of this research is in three main areas. First, the competitive dialogue enabled
bidders to develop their proposals through feedback based on the evaluation tool.
Secondly, the engagement of the design champion, independent design advisers and the
user group ensured that design quality remained a high priority throughout the selection
process; and enabled different perspectives to be incorporated. Thirdly, the evaluation tool
itself could be used by future project teams without the need for explanatory seminars or
approved facilitators, such as those required by the Design Quality Indicator. In addition, it
offers objective decision-making in staged selection of proposals, and bidders have
observed the unprecedented rigour of the feedback; both in the selection of unsuccessful
candidates and improvement in specific aspects of successful designs.

12

1.2 The Project


An ageing population represents one of the most extraordinary social transformations that
has characterised and will continue to characterise British society. The heightened hope of
living longer and the increase in the number of elderly citizens represents a challenge for all
local authorities. North Tyneside Council, a large metropolitan local authority in the north
east of England, faces a particularly radical social change with housing stocks that are
unlikely to meet future needs. Therefore the Council included in its strategic plan (North
Tyneside Council 2007) provision to replace its existing sheltered housing schemes with 10
new build developments and 16 refurbishments. The intention was to increase both the
quantity and quality of its provision. The Council concluded that the only feasible method of
funding this huge transformation was through the Private Finance Initiative, and successfully
applied to the Government for over 100 million of PFI credits. From the beginning, the
Council was keen to produce high quality buildings, and its first priority was to act on the
recommendations of CABE (2005) and the Treasury Taskforce (Office of Government
Commerce 2007).

2. Assessment of Design Quality


Table 1 shows existing evaluation tools that could be applied to sheltered housing.
Table 1: Existing Evaluation Tools
tool and who
developed it
Housing Quality
Indicators (HQI)

year started and


building type
1996
housing projects

The Housing
Corporation, and
inherited by the
Homes and
Communities Agency
(HCA)

Sheffield Care
Environmental
Assessment Matrix
(SCEAM)
University of Sheffield

1999
nursing homes

Building for Life


CABE

2001
houses and
neighbourhoods

critique

Useful structuring for assessment and scoring scheme.


Devised for general purpose housing and therefore does not
map directly onto needs of sheltered housing. Responses in
terms of yes/no/not applicable limits quality assessment,
especially in the case of multi-part questions eg 2.2 Are the
buildings in context with local buildings, street, patterns (form,
mass, detail and materials)? Enter not applicable forsurrounding local environment is of poor visual quality.
http://www.homesandcommunities.co.uk/hqi
Following the establishment of the HCA, it inherited differing
design standard requirements. In spring 2010, it consulted on
a potential set of core future design and sustainability
standards. In November 2010, the Housing Minister confirmed
that the HCA would have to retain the existing standards.
http://www.homesandcommunities.co.uk/ourwork/design-andsustainability-standards
The objective of this tool is to systematically investigate
relationships between the physical environment of nursing
homes; and the quality of life of residents, and the job
satisfaction and morale of care staff. Thus it is applied to
buildings in use and not really applicable to the evaluation of
design proposals (Parker et al., 2004).
Based on only 20 criteria and therefore generic issues.
Produced to assist local authority planners, and therefore
includes planning issues that are not applicable to sites that
have already been selected; and only a proportion of the
criteria are related to the actual design quality of proposals.
Devised for general purpose housing and therefore does not
map
directly
onto
needs
of
sheltered
housing
http://webarchive.nationalarchives.gov.uk/20110107165544/htt

13

Design Quality
Indicator (DQI)
Construction Industry
Council

2002
all building types

Evaluation of Older
Peoples Living
Environment
(EVOLVE) University
of Sheffield and
University of Kent

2010
sheltered housing
and care homes

p:/www.buildingforlife.org/criteria/
Originally created to assess completed buildings later
expanded to five phases including design. The calculation of
scores is based on an aggregation of a set of individual
opinions provided by various people (Eley, 2004) identified as
stakeholders. The process involves a questionnaire and
workshops. The 90 questionnaire statements are generic (to
cover the range of building types) eg the lighting is versatile for
different user requirements (CIC, 2003) which could be difficult
to assess at design stage especially by lay people. The
explorative style of workshops is inconsistent with the
competitive dialogue procedure - in terms of specification of
the contracting authority, confidentiality and equal treatment of
bidders (HM Treasury, 2008).
Established to assess occupied buildings but notes that it can
be used to evaluate buildings at design stage. It is well
structured in six sections. However, the assessment of design
only relates to internal matters. There is a section on site and
location, but it is restricted to access to local services. This is
not especially useful as the sites will be pre-selected. Thus,
there is not evaluation of context, external space and building
form. Nevertheless, there are nearly 2000 questions for the
remaining two thirds of the issues. In addition, the responses
are yes/no/not in use/not applicable so it would be difficult
to achieve assessments in terms of qualitative gradings for a
number of schemes and several bidders in a competitive
environment.
http://www.housinglin.org.uk/Topics/browse/Design/DesignGui
des/?parent=6594&child=7997

While the existing evaluation tools provide useful benchmarks, and some offer a means of
structuring the evaluation - none were totally applicable in the context of competitive bidding,
competitive dialogue, raising the standard of all design proposals, and contributing to
decisions as to which bidders should proceed to the next stage; and ultimately the selection
of the preferred bidder. Nevertheless, the urgency of the PFI programme led to the
inevitable conclusion that one of the existing tools would have to suffice. On 6 May 2010
both the General Election and Local Elections took place. Immediately, the new Mayor
halted all capital projects while a review took place. This was closely followed by the new
Governments Comprehensive Spending Review. As the PFI project was unable to progress
for several months, the opportunity was taken to develop an Architectural Design Evaluation
Tool for Sheltered Housing.

3. The Architectural Design Evaluation Tool for Sheltered Housing


3.1 Literature Review
The Royal Fine Arts Commission had been enquiring into designs for buildings of public
importance referred to it by Government Departments, since 1924. However, the New
Labour Government from 1997 attacked what it perceived to be poor design quality in all
aspects of the built environment and pledged a radical improvement not least in the design
of housing (Carmona, 2001). In 1999, it replaced the RFAC with a better resourced, more
focussed adviser in the Commission for Architecture and the Built Environment (CABE).
This Commission employed skilled staff and leading consultants to produce an extensive
literature on how to achieve high design quality. The period from 1997 to 2011 represents

14

unprecedented attention to design in the built environment of this country. In addition to the
design guidance, many academic journal papers were published. Therefore, the literature
review for the development of the Design Quality Evaluation Tool consulted 120 of these
papers to determine which they perceived as the seminal works in the study of the nature of
home and the principles of design quality. The publications in Table 2 were referenced more
extensively than any others and therefore formed the basis of the literature review for the
formulation of the tool. In addition, a review of reports and guides on design quality in
homes and housing over the 1997-2011 period, provided performance data for the Tool, and
these publications are listed in Table 3. Unfortunately, the new Conservative Government
withdrew CABEs funding, and as a result from 2011, its operation was seriously diminished.

3.2 Scoring the Criteria


A small group comprising the Researcher and three members of the Project Team assessed
all the schemes against the criteria. The quality of design response to each criterion was
measured on a 7 point Likert Scale (Miller and Salkind, 2002) as follows:
6 Outstanding
5 - Excellent
4 - Very Good
3 - Good
2 - Average
1 - Minimal
0 Criteria not met
In addition, the assessors were required to provide a written justification for each score.
Table 2: Seminal Publications referenced in the Tool
Alexander 1977;1979;2002
Altman 1975;1976;1977a;1977b,1985a;1985b;
1991;1992;1993;1994
Appleyard 1979
Barnes 2001;2002;2006
Benjamin 1995
Buttimer 1976;1980a;1980b
Canter 1977;1983;1993
Chaudhury 2005
Day 1990;1998;2002;2004
Douglas 1980;1991;1998
Dovey 1978;1985;1990;2005
Duncan 1989;1992a;1992b;1993;1996
Dupuis and Thorns 1996;1998
Feldman 1990;1993;1996
Gann 2001;2002;2003a;2003b
Gesler 1991;1992;1993;1996;1998; 2009
Giuliani 1991;1993
Gurney 1990;1996;1997
Hanson J (2001)
Hay 1998a;1998b
Hayward 1975,1977
Heidegger 1962;1971;1993
Hertzberger 1998;2000
Lawrence 1987a ;1987b;1995;2002
Lawson 2001;2003;2005

Low 1990;1992;1996
Macmillan 2003;2004;2005,2006
Marcus 1974;1976; 1995;1997;2006
Maslow 1943; 1954;1968
Moore 1991;1993;1995;1998;2000a;2000b
Newell 1992;1994;1995
Newman 1972;1973
Nezlek et al. 2002
Norberg-Schulz 1965;1971;1979;1980
Porteous1976;2001
Proshansky 1978;1983
Rapoport 1980;1981;1982;1990;1995;1998;2005
Relph 1976;1981;1993;1996;1997;2000;2008
Rowles 1983;2005a;2005b;2006
Salingaros 1995;1998;1999a;1999b;2000
Saunders 1988;1989;1990a;1990b
Seamon 1979;1980
Shumaker 1981
Sixsmith 1986; 1990;1991
Smith1994;2001
Somerville 1992;1994;1997
Thorns 1996;1998;1999
Tognoli 1982; 1987
Torrington 1996;2001;2004;2007
Tuan 1974;1977;1980
Ulrich 1983;1984;1991

15

Lawton 1975;1980;1985;1989;1990;1994;1996;
1997;1998;1999;2000;2001

Werner 1985;1986
Whyte 2001;2003a;2003b

Table 3: Reports and Design Guides referenced in the Tool


Association of Chief Police Officers Crime Prevention Initiatives (2004) Secured by Design Principles
CABE (2008) Delivering great places to live: Building For Life
CABE (2009) Homes for our old age: Independent living by design
Care Services Improvement Network (2008) Design Principles for Extra Care
Department of Justice (1994) 28 Code for Federal Regulation Part 36 ADA Standards for Accessible Design
Design Principles for Extra Care (2008)
Goodman C (2011) Lifetime Homes Design Guide, IHSBRE press
Housing Corporation (2007) Design and quality standards, London, The Housing Corporation
Housing Corporation (2008) Housing Quality Indicators
Littlefield D (2008) Metric Handbook: planning and design data, 3rd ed., London, Architectural Press
North Tyneside Council (2007) Housing Strategy 2006-2010
Thorpe S and Habinteg Housing Association (2006) Wheelchair Housing Design Guide (WHDG) (2nd edition),
BRE Press

3.3 Conceptual Framework and Weighting the Criteria


The debate about measurement of design quality has a long history, and this is reflected in
the literature, especially from the era in which the Design Quality Indicator appeared as the
first comprehensive system to measure quality of design embodied in the product
buildings themselves (Gann et al., 2003). However, the importance of differentiating
between performance and amenity goes back to Burt (1978). Therefore, any assessment of
quality would benefit from an appropriate means of evaluating both performance and
amenity, in addition to assessing their integration into the design as a whole (Giddings and
Holness, 1996). This notion was supported by Manning (1991) who established the
distinction between Environmental Quantities and Environmental Qualities; and by Thomas
and Carroll (1984) who identified a continuum between Practicality and Originality.

16

Figure 1: Quality Hierarchy Diagram


Exploration of all these attributes led to the development of a Quality Assessment Hierarchy.
Although originally devised for use in design award schemes; as Gann et al. (2003) point
out, it can equally well be applied to the quality of design proposals. Figure 1 represents a
summary of the Quality Assessment Hierarchy.
For further information about its
development, please see Giddings and Holness (1996). From the beginning, the importance
of the amenity attributes was emphasised. At the presentations by the independent
advisers from Northumbria University in December 2008, the primary objective was to
provide supplementary guidance for bidders. Councillors (including the Design Champion)
and representatives of the Users Group were also present. The presentations focussed
almost entirely on amenity attributes, and were based around people and places. This
follows the principle of the Quality Assessment Hierarchy in which performance cannot be
neglected but criteria demonstrating greater amenity are weighted higher on a linear scale,
ie 1-3 for performance attributes and 3-5 for amenity attributes (Sudha and Baboo, 2011).
The mean weighting of the criteria in each category is shown on Table 4. It is presented with
the categories in hierarchical order, ie communal spaces have the greatest tendency
towards the amenity attributes whereas service spaces tend mostly towards the performance
attributes.
Table 4: Summary of Categories
category
Communal Spaces
Context
Building Form
Apartments
Circulation Spaces
External space
Entrances
Architectural
Components
Services Spaces

percentage allocation
new build
refurbishment
17%
20%
7%
7%
14%
10%
11%
10%
10%
10%
14%
13%
10%
11%
7%
7%
10%

12%

mean weighting
4.44
4.10
4.00
3.00
2.93
2.80
2.63
2.00
1.90

Once all the criteria have been scored, each is multiplied by its weighting and the total
weighted score for the category calculated. This figure is multiplied by the percentage
allocation (as shown in Table 4). The resulting scores from each category are then
aggregated to find the total score for the scheme (see Table 5). The percentage allocations
had been previously agreed between the Project Team and the Users Group. It should be
noted that they vary between new build and refurbishment. Participants in future projects
may decide on different percentages to suit their particular needs.

4. Visualisation of the Results


The evaluation took place in three stages. The first stage was aimed at reducing the original
six consortia to three bidders. The second stage reduced the number from three to two, and
the objective of the third stage was to select the preferred bidder. At the final evaluation
stage, ie selection of the preferred bidder, designs for all 26 schemes were produced. The

17

Research and Project Teams concluded that, even at this late stage, there should be
opportunity for the bidders to improve their designs through an iterative process resulting
from a series of reviews. However, it should not be forgotten that both the revision of
designs and the review process are very resource intensive in terms of time and money.
The balance was struck at three reviews. Thus, there was output from 26 schemes x 3
reviews x 2 bidders = 156 results. It was concluded that the most effective way of
presenting the results would be one graphical sheet per review generating 156 sheets.
Each review sheet needed an overview but also sufficient detail to enable bidders to target
specific areas for improvement after Reviews 1 and 2. The top row of the sheet includes a
spider diagram as a summary showing overall strengths and weaknesses. The score for
each category is also shown in percentages, together with a build-up of the total score from

the categories. The remainder of the sheet illustrates the nine categories with percentage
scores for each group of criteria (see Figure 2).
Figure 2: Results of Evaluation of Design for Crummock, Bidder S, Review 2
All the results from the final evaluation stage are summarized in Table 5.
Table 5: Results for all designs Stage 3, Bidders S and T, three Reviews
Summary of Results: New Build (in %tages)
Bisley
S
59.1
80.5
80.7

T
42.8
66.1
70.3

Bristol
S
59.5
76.0
78.4

T
57.1
61.1
66.3

Broadway
S
T
52.8
60.6
70.3
71.7
72.2
73.8

Chapelville
S
T
63.4
56.2
73.5
66.7
74.0
68.5

Clifton
S
77.6
83.0
83.7

T
65.3
77.2
80.6

Scheme
Bidder
Review 1
Review 2
Review 3

Crummock
S
T
66.0
62.5
76.3
70.9
76.6
72.5

Eldon
S
74.5
76.9
79.2

T
59.3
67.3
69.1

Marsden
S
T
61.1
51.4
71.1
61.4
72.2
62.5

Phoenix
S
55.6
73.8
74.2

Roseberry
S
T
58.4
38.5
77.4
70.4
77.6
72.4

Scheme
Bidder
Review 1
Review 2
Review 3

T
57.5
66.0
71.3

Summary of Results: Refurbished (in %tages)


Carlton
S
64.4

T
56.8

Carville
S
57.8

T
53.1

Cheviot
S
57.2

T
47.0

Eccles
S
50.7

T
47.7

Scheme
Bidder
Review 1

18

75.9
77.9

62.2
64.0

74.2
74.6

36.7
41.2
Emmerson
S
50.7
60.5
61.9
35.6
26.3
Orchard
S
57.6
67.3
68.7
28.2
40.5
Skipsey
S
58.2
68.5
69.4
35.3
34.1

69.4
73.3

74.8
75.1

33.5
41.1

T
50.6
56.5
59.5

T
59.1
61.7
62.2

76.8
77.2

60.5
64.8
20.6
56.6

Review 2
Review 3
Existing
Value Added

Feetham
S
T
62.5
51.9
72.1
70.4
73.7
72.3
44.3
29.4

Ferndene
S
T
50.1
47.6
73.5
68.5
78.0
75.3
33.3
44.7

Fernlea
S
61.0
70.2
70.8

Preston
S
61.9
73.0
76.6

Rosebank
S
T
54.5
47.5
70.5
60.1
70.6
63.8
30.4
40.2

Rudyard
S
T
58.0
53.1
72.6
56.5
74.1
59.9
45.6
28.5

Scheme
Bidder
Review 1
Review 2
Review 3
Existing
Value Added

Tamar
S
64.6
74.9
77.1

Victoria
S
61.7
68.2
69.4

Scheme
Bidder
Review 1
Review 2
Review 3
Existing
Value Added

T
55.6
66.9
71.7
41.9
34.7

T
48.5
59.8
61.2

61.3
65.0
36.1
39.0

Southgate
S
T
58.6
66.1
77.7
68.3
78.2
68.7
53.4
24.8

T
42.9
63.3
64.5
30.3
46.8

T
57.3
67.0
67.7
28.3
42.5

T
65.3
70.1
70.6
36.6
32.8

Scheme
Bidder
Review 1
Review 2
Review 3
Existing
Value Added

5. Analysis and Discussion


In new build and refurbishment proposals, both bidders received relatively low scores at
Review 1, although Bidder S scored higher than Bidder T for virtually all schemes. The
spread of results, as indicated by the standard deviations, was relatively large for new build
but less in the refurbishment schemes. The feedback from Review 1 seems to have been
effective, as on average Bidder S improved their score by 20.9% for new build in Review 2,
and Bidder T by 23.2% while the standard deviations reduced by 3.98 and 3.68 respectively.
The improvement in the refurbishment schemes was similar as Bidder S improved their
score by 23.8% and Bidder T by 20.3%. The standard deviations started from a narrower
position and therefore the reductions were less dramatic at 0.32 and 1.85 respectively. The
improvements from Review 2 to Review 3 were noticeably more modest. For new build the
change was only 1.3% for Bidder S and 4.1% for Bidder T; with equally small changes in
standard deviation (0.16 and 0.06). In the refurbishment projects the change was only 1.9%
for Bidder S and again 4.1% for Bidder T. The standard deviation for both bidders actually
increased by 0.21 and 0.22 respectively (see Table 6). The Review Team concluded that
the introduction of two Reviews had been worthwhile as there had been significant
improvements, but that Review 3 would probably be discontinued in future. The objective of
raising the design standard of all schemes was achieved, but Bidder S maintained a clear
advantage throughout all the Reviews. The notion of scoring the existing buildings and
demonstrating the value added was adopted quite late in the process. The differences
between the existing and proposed for Bidder S are shown on Table 5. The average
increase in value was 106%. It was eventually realised by the Project and Research Teams

19

that the potential of the tool could be enhanced if all existing buildings were to be scored at
an early stage as part of the decision-making on prioritising cases for redevelopment and
refurbishment.
Table 6: Analysis of Results
Reviews

Bidder S
mean

standard deviation

Bidder T
mean

standard deviation

New Build: 10 Schemes


1
62.8%
2
75.9%
3
76.9%

7.92
3.94
3.78

55.1%
67.9%
70.7%

8.55
4.87
4.81

Refurbishment: 16 Schemes
1
58.1%
2
71.9%
3
73.3%

4.65
4.33
4.54

53.1%
63.9%
66.5%

6.59
4.74
4.96

The Project and Research Teams were confident that the Tool had provided both a means
for improving the design quality of all the schemes and demonstrated which bidder offered
higher quality design. However, the Treasury Task Force (2007) had stated the need to
ensure that design proposals are consistent with the budget available for the project. There
have been anecdotal assertions, especially in PFI projects, that an increase in design quality
would render the projects unaffordable. The use of the Tool and the presentation of results
from the Reviews, enabled Bidders to model specific design changes in relation to their
effect on projected expenditure. Informal feedback from the Bidders made it clear that they
had tested different options for particular design changes, against the model for the budget.
The financial projections are shown alongside the budget on Figure 3. Contrary to
unsubstantiated opinion (Evans and Hartwich, 2005), both bidders were within budget and
followed a similar profile. Overall, Bidder S was more economical than Bidder T, through the
tactic of accelerating the construction period by 12 months. Increasing the rate of
construction emphasises the need to carefully monitor the build quality; and highlights a
critical period when expenditure equals the budget. If Bidder S is selected as the preferred
bidder, the Project Team will need to be vigilant about these two issues during the
construction period.

20

Figure 3: Financial Projections for Bidders S and T set against Budget

6. Conclusions and Further Developments


This paper charts the introduction of a large scale PFI project into a metropolitan local
authority in England; against a background of concern about design quality. The
establishment of a new competitive dialogue procedure was arguably the biggest change in
relationships with the bidders and this was perceived by all parties as crucially important.
However, it soon became clear that the deficiency in the process was how the designs would
be evaluated. A review of existing evaluation tools revealed that they would not meet the
specific requirements of the revised PFI procedure. Delays due to the Governments
Spending Review enabled sufficient time for a new evaluation tool to be developed. The
objectives were to inform the decision-making process in terms of selection of the preferred
bidder, and to improve the design quality of all proposals. The tool was progressively
applied to the selection stages and the results offered clear direction as to where the designs
could be improved. It also quantified the improvements to the refurbishment schemes in
comparison with the existing; and provided invaluable data to assist the selection of the
preferred bidder. The results showed a significant improvement in design quality through the
iterative process, although it was concluded that two reviews at stage 3 were probably
sufficient. They also revealed the potential for assessing the quality of existing buildings as
a means of informing redevelopment and refurbishment programmes. The Tool produced
156 evaluations from which clear patterns emerged. Nevertheless, the real outcome in
relation to design quality will only be known when the post-occupancy evaluations are
carried out in several years time.
The Tool has been examined by the Homes and Communities Agency (HCA), the British
Governments national housing and regeneration agency for England, whose the aim is to
deliver high-quality housing that people can afford; and it is now included on the website at
the following address, as an instrument setting new standards in design.
http://www.homesandcommunities.co.uk/architecture-design-quality-evaluation-tool.
Discussions have taken place with RIBA Enterprises National Building Specification (NBS)
Team about the CREATE Specification Tool, which will be developed over 2013 to deal with
briefing and design; and this will incorporate many of the ideas developed from the Tool
and/or interoperate with the Tool itself. Following a presentation at the PPP/PFI Conference
for Social Housing (London, September 2010), interest has been expressed by other English
local authorities with early stage, large scale redevelopment proposals; and exploratory
seminars have been undertaken. A condensed and more generic edition of the tool has
been offered to MArch students at Northumbria University, to enable them to evaluate the
development of their own studio design projects. A medium term objective is to identify the
core of the Tool as a replicable standard, and generate specific sections for different building
types. It was devised to suit the competitive dialogue phase of a PFI project, however it does

21

not necessarily need to be limited to that form of procurement. The development of the tool
with the National Building Specification team will undoubtedly require adaption to different
building types and different forms of procurement. The favoured approach is a generic core
with specific criteria tailored to the particular building types.

References
Burt, M.E. (1978) A Survey of Quality and Value in Building, Watford, Building Research
Establishment.
CABE (2005) Design Quality and the Private Finance Initiative, London, The Commission for
Architecture and the Built Environment.
Carmona, M. (2001) Housing Design Quality: Through Policy, Guidance and Review,
London, Spon Press.
CIC (2003) Design Quality Indicator, London, Construction Industry Council.
Eley, J. (2004) Design Quality in Buildings. Building Research and Information 32(3): 255260.
Evans, W. and Hartwich, O.M. (2005) Unaffordable Housing: Fables and Myths, London,
Policy Exchange.
Gann, D.M., Salter, A. J. and Whyte, J.K. (2003) Design Quality Indicator as a Tool for
Thinking. Building Research and Information 31(5): 318-333.
Giddings, B. and Holness, A. (1996) Quality Assessment of Architectural Design and the
Use of Design Award Schemes. Environments by Design 1(1): 53-68.
Giddings, B., Sharma, M., Jones, P. and Jensen, P. (2010) Architectural Design Quality in
Local Authority Private Finance Initiative Projects, Proceedings of the CIB World Congress:
Building a Better World, 10-13 May, The Lowery, Salford Quays, UK.
HM Treasury (2008) Competitive Dialogue in 2008: OGC/HMT joint guidance on using the
procedure, Norwich, Office of Government Commerce.
Manning, P. (1991) Environmental Aesthetic Design: identifying and achieving
environmental effects, particularly image and atmosphere. Building and Environment 26
(4): 331-340.
Miller, D.C. and Salkind, N.J. (2002) Handbook of Research Design and Social
Measurement, 6th ed., London, Sage Publications Inc.

22

North Tyneside Council (2007) Housing Strategy 2006-2010, Killingworth, Housing Support
and Development.
Office of Government Commerce (2007) Design Quality: Achieving Excellence in
Construction Procurement Guide, London, Office of Government Commerce.
Parker, C., Barnes, S., McKee, K., Torrington, J. and Tregenza, P. (2004) Quality of life and
building design in residential and nursing homes for older people. Ageing and Society 24:
941-962.

Sudha, N., and Baboo, S. (2011) Evolution of new WARM using Likert Weight Measures
(LWM). International Journal of Computer Science and Network Security 11(5): 70-75.
Thomas, J.C. and Carroll, J. (1984) The Psychological Study of Design, in Cross. N.(ed),
Developments in Design Methodology. Chichester, John Wiley and Son, 83-95.
Treasury Taskforce (2007) Technote 7: How to Achieve Design Quality in PFI Projects,
London, The Public Enquiry Unit HM Treasury.
http://www.homesandcommunities.co.uk/hqi (Accessed 13 November 2012).
http://www.homesandcommunities.co.uk/ourwork/design-and-sustainability-standards
(Accessed 13 November 2012).
http://www.housinglin.org.uk/Topics/browse/Design/DesignGuides/?parent=6594&child=799
7 (Accessed 13 November 2012).
http://webarchive.nationalarchives.gov.uk/20110107165544/http:/www.buildingforlife.org/crit
eria/ (Accessed 13 November 2012).

23

Contribution for Integrating Energy Simulation into


the Building Design Process
Nathlia de Paula1, Vanessa Gomes da Silva2, Silvio Burrattino
Melhado3
Abstract
Building energy simulation is a new topic in the Brazilian civil construction market.
Therefore, it is important to investigate how to integrate this new activity into the building
design process. A necessary step to advance in this direction is to map the building energy
simulation process. For that purpose, a literature review was carried out on concerns
regarding energy conservation, energy simulation and challenges in the building design
process in the Brazilian market. An exploratory research was then developed, including
semi-structured interviews with the energy and mechanical/electrical/plumbing (MEP)
manager of a consulting firm in So Paulo city and the analysis of documents related to a
commercial building. Energy simulation process mapping can help designers to understand:
the relationship of simulation and design disciplines; simulation as a process (input
processing output); the responsibilities involved in data simulation and how to organize
them to other players; the importance of providing simulation data input.
Keywords: Integration, process, mapping, environmental requirements.

1. Introduction
In Brazil, actions related to energy conservation began to be taken, motivated by the 2001
Brazilian energy crisis, when the first energy law was approved. In 2003, the National
Program for Energy Efficiency in Buildings (PROCEL EDIFICA) was established to promote
electric power rational use. PROCEL EDIFICA contributed to the development of reference
parameters for checking the level of buildings energy efficiency, which originated the Quality
Technical Regulation for Energy Efficiency Level of Commercial, Services, Public and
Residential Buildings (RTQ-C) and the Conformity Assessment Requirements for Energy
Efficiency Level of Commercial, Service, Public and Residential Buildings (RAC-C), both
published in 2009 (FOSSATI, MORISHITA and LAMBERTS, 2011; MELO et al., 2012;
SCALCO et al., 2012).

MSc.; Department of Civil Construction Engineering; University of So Paulo; Av. Prof. Almeida
Prado, Trav. 2, Ed. Engenharia Civil, Cidade Universitria, So Paulo, SP, Brazil, 05508-900;
nathaliapaula@yahoo.com.br.
2
Dr.; Department of Architecture and Construction; University of Campinas; Av. Albert Einstein, 951,
Cidade Universitria "Zeferino Vaz", Caixa Postal 6021, Campinas, SP, Brazil, 13083-852;
vangomes@fec.unicamp.br.
3
Dr.; Department of Civil Construction Engineering; University of So Paulo; Av. Prof. Almeida Prado,
Trav. 2, Ed. Engenharia Civil, Cidade Universitria, So Paulo, SP, Brazil, 05508-900;
silvio.melhado@poli.usp.br.

24

RTQ-C specifies the technical requirements to classify the buildings energy efficiency level
in order to label them. The buildings can be classified into five levels from A (most
efficient) to E (least efficient) based on two approaches: simulation or prescriptive
method. The building labelling process is composed of two stages specified in RAC-C:
design assessment, whereby a design label can be issued; building inspection, whereby the
building can obtain the label (FOSSATI, MORISHITA and LAMBERTS, 2011; SCALCO et
al., 2012). According to Inmetro (2012), one in thirty-five commercial, services and public
buildings labelled at the design stage was assessed by the simulation method, and the
prescriptive method was utilized in all residential buildings and multifamily buildings (twelve
design labels were issued).
As stated by Mendes et al. (2005), building simulation use in Brazil is still concentrated in
educational and research institutions with little technology transfer to the private sector.
Nevertheless, there is a trend for change since there is the market demand for buildings
labelled or certified by LEED (Leadership in Energy and Environmental Design), AQUA
Process (High Environmental Quality of Buildings, an evaluation and certification
methodology of sustainable buildings of French origin used in Brazil), among others.
Cavalcante (2010) says that ASHRAE 90.1 Energy Standard for Buildings Except Low-Rise
Residential Buildings, referred in LEED, has gained acceptance in recent years in Brazil,
specifically in So Paulo city, and consulting activities have been hired to demonstrate
building compliance through simulations.
Energy simulation is a new topic in the Brazilian civil construction market. As a
consequence, the energy simulation process is not yet mapped; information used in
simulation is dispersed and the sustainability consultant needs to seek data in the several
design disciplines. Moreover, simulation is also a new activity in the designer sphere, which
had not been previously required. Hence, it is important to investigate how to integrate this
new piece into the puzzled building design process. For that purpose, it is necessary: (1) to
map the energy simulation process (input processing output), (2) to map the design
process (input processing output), (3) to identify interfaces and difficulties between the
design and the simulation processes, (4) to define strategies to integrate the new activity into
the design process, (5) to test the strategies and (6) to validate them.
In Brazil, there is lack of a building design process reference. Although there are some
standards related to design and free design scope manuals created by Brazilian entities that
represent the design professionals, they are not applied by them. It is important to highlight
that the standards are outdated. Melhado (1994) emphasizes that the standards should be
reviewed in order to add some concepts, such as multidisciplinary approach, constructive
rationalization and buildability. New demands should be inserted in the standards and
manuals: building integrated design, building environmental sustainability, building
performance standard and Building Information Modeling (BIM).
The Brazilian reality is different from other contexts. In the British case, for example, the
building design process was mapped, resulting in a document called Outline Plan of Work,
which was reviewed with BIM and Green Overlays. These documents can be downloaded
for free (RIBA, 2012); they are references to the players involved in the building production.

25

Paula and Melhado (2012) state that the effects of environmental sustainability demands on
the building design stage are: consulting firm participation in the project team, to promote the
inclusion of environmental requirements at the design stage; inclusion of new players in the
design team, such as acoustic and sanitary engineers; changes in contractual requirements,
as designers should be aware that there are sustainability requirements in the project;
inclusion of environmental requirements into the design, which should be coordinated also
with that specific focus; use of new technologies, both incorporated to the buildings and to
the design stage, such as use of BIM and simulation tools; and recognition of the importance
of the design stage and integrated design.
In addition, Paula e Melhado (2012) present the challenges and questions: the design
process is not defined - there is a lot of rework in the design tasks; the scope of the players
involved in the project is not defined - what are the responsibilities of each player and the
scope of the designers?; should new competences be developed according to the demand
for environmental sustainability?; the time of the use of simulation tools and their results
should be defined to facilitate decision making; current demands and their interrelation
should be considered in the design process, such as environmental certifications, PROCEL
EDIFICA, performance standard and BIM.
All of this is complex as a whole; it is necessary to break this context down into parts that
allow understanding of the design process, the new demands and the relationship among
them. Thus, our aim is to map the building energy simulation process, one point necessary
to integrate it into the design process.

2. Research method
The research method used was the exploratory research. According to Gil (2008), this type
of research provides more familiarity with the problem studied, making it more explicit and
allowing hypotheses delineation. The main purpose of exploratory research is to allow ideas
to be improved or insights to be had. The planning for data collection is very flexible, making
it possible to consider various aspects related to the fact studied.
Two semi-structured interviews were conducted with the energy and MEP (Mechanical
Electrical Plumbing) manager of a consulting firm in the So Paulo city. In addition, the
documents related to building energy simulation a commercial building seeking LEED
certification - were analyzed. The aim was to understand the energy simulation process
followed by the consulting firm. As shown in Figure 1, this paper contributes to the first stage
towards integrating energy simulation into the building design process.
A literature review was carried out regarding the Brazilian concerns about energy
conservation, energy simulation in the Brazilian market and challenges in the building design
process.

26

Figure 1: Stages to the energy simulation integration into the building design process

3. Exploratory research
3.1 Building and consulting firm characteristics
The consulting firm characteristics were obtained through the interviews and its website.
This firm was chosen due to its relevance in the Brazilian market. It has been in the market
since 1990, has approximately 130 employees, and is also ISO 9001, ISO 14001 e OHSAS
18001 certified. Nowadays, it works in six areas: business consulting, sustainability,
management, real estate, events and courses and web applications. Its clients are investors,
developers, construction firms, design firms, material manufacturers and government
agencies, among others.
The building of reference, currently at construction stage (building foundation), is inserted in
the commercial market segment and aims at LEED Gold certification level. Its built area is
61.240 m, distributed in 4 underground parking, ground floor, 2 mezzanines, 31 floors type,
engine room and attic. The project team was composed of the following players: real estate
developer, construction firm, design firms and consulting firms.

3.2 Energy simulation in the building design process


The interviews allowed obtaining a set of considerations that are summarized as follows. As
stated by the energy and MEP manager, his team usually uses the software Energy Plus.
However, he is analyzing the possibility of using the software IES <VE>, because its
graphical interface is more intuitive than that of EnergyPlus. EnergyPlus was the first tool
used in the company and because of the large number of contracts aimed at LEED
certification, its professionals have created an extensive database of this software.

27

According to the interviewee, regarding the moment for the energy simulation team to
participate in the design process, in most cases the firm is contracted at the beginning of the
design. The client hires the consulting firm to guide the design team to adequately consider
environmental requirements in the building conception. The interviewee highlighted the
importance of the architectural conception stage, a moment at which important decisions are
made, such as building orientation and geometry, which greatly influence subsequent
decisions.
In most cases, the consulting firm is hired by a developer, but construction or architectural
firms also play this role. In the past, when the firm started the certification-related works,
some clients hired it at the detailing design stage or with the construction in progress. In
these situations, the consultants perform a diagnosis to analyze the possibility of the building
obtaining the certification and the potential contribution of the simulation to evaluate
alternative design solutions is rather limited. The interviewee exemplified two building cases
in which the consulting firm was hired at an unsuitable time: in one case, based on the
diagnosis, the certification could not be granted and the client opted to desist of the
certification process; in the other case, the consulting firm was hired late at the design stage,
which caused a lot of rework to finally achieve certification.
According to the interviewee, when the energy simulation occurs at beginning of the
process, the consulting firm can provide an appropriate feedback to the design team.
Currently, he has observed that designers await input from simulation results (feedback from
consultants) to specify equipment, fixtures etc. Also, he highlighted other important points to
the design stage success: design process management, activity planning and design
coordination.

3.3 Energy simulation process mapping


The consulting firm suggests three energy simulations per building: preliminary, at the end of the
preliminary design; intermediate and final simulation. At least two simulations must be performed:
a simulation for the preliminary analysis of the building energy performance and proposition of
improvements to the design, and the final simulation, as required by the environmental
certification process. Simulation yield is defined in contract, and depends on the building
complexity and the client requirements; some clients may require two, three or four simulations.
Figure 2 presents the energy simulation process mapping composed by inputs to perform the
simulation, data processing in the design disciplines architectural design, air conditioning
design, lighting design and electrical design along with general data and outputs from the
process.
In the preliminary design stage, the designers are able to provide inputs for preliminary energy
simulation. Regarding the information level, the interviewee said that the design information in a
given stage varies greatly across design practices. The consulting firm receives the designs from
different specialties and fills a, Energy Efficiency Simulation Data Form, normally used for
commercial buildings, but adaptable for residential buildings and hospitals. As explained by the
interviewee, filling the form was required from designers, but they did not carry out this activity.

28

The consulting firm just sends the form to the designer in case it needs specific data and, if
necessary, designers perform some calculations and estimates. Therefore, when concluded, the
form is validated often by e-mail by all professionals, including the clients, since they must be
aware of the input data used in the simulation.

29

(1) Architectural Design, (2) Air Conditioning Design, (3) Lighting Design, (4) Electrical Design, (5) General Data

Figure 2: Building energy simulation process mapping


Energy simulation, building performance analysis and energy efficiency strategies
propositions are carried out resulting in the Energy Efficiency Technical Analysis Report
[Preliminary Simulation]; it is composed by: (1) introduction, (2) data common to both
models, (3) baseline data, (4) design data, (5) performance data and (6) concluding remarks.
The form Data Form for Energy Efficiency Simulation is an appendix of this report. All data
contained in the form, in compliance with the standards and from estimates and calculations,
are necessary to perform the preliminary simulation. As a consequence of design evolution,
there are changes and the data, previously estimated, needs updating. Thus, the difference
among the simulations preliminary, intermediate and final is the refinement degree of the
information inserted. The preliminary report simulation assists in data refining and closing,
and provides feedback to designers, who can improve proposed solutions toward the
detailed design stage.

3.4 Building energy simulation


Three energy simulation were predicted to the building preliminary, intermediate and final
simulations. The first simulation occurred at the end of the preliminary design.
According to the Energy Efficiency Technical Analysis Report [Preliminary Simulation], the
building design was not complying with the goal of reducing 10% in annual energy cost as
compared against the baseline model, required by LEED for Core & Shell (2009). For this
reason, the consultants identified the items that influenced the buildings performance and
proposed a set of potential energy efficiency strategies. The main items were the window
wall ratio in the facades and the glazings solar factor, both above the ASHRAE 90.1 (2007)
baseline.
After that, scenarios were created with the adoption of energy efficiency strategies,
considering the same architectural design condition and keeping the facades and glazing
options; technical options were inserted in relation to the air conditioning and lighting
designs. The strategies were: (1) insertion of heat recovery in the HVAC system, in which
the purged indoor air pre-cools the incoming external air; (2) variation of external air intake in
each floor, depending on the CO2 concentration in the spaces; (3) automated and motorized
blinds implementation to reduce direct solar radiation gain; (4) fixture circuits dimerization
next to the facade in order to use daylight and reduce energy consumption.
The report concluded that the conditions for improving the facade architectural design, along
with specifying more efficient glazing would certainly contribute to the improvement of the
building overall energy performance, due to the direct impact on reducing the power
consumption of the HVAC system.

30

Subsequently, a facade study was ordered, also conducted by the consulting firm, but
contracted separately. Study specifications were simulated (intermediate simulation). As
demonstrated by the Energy Efficiency Technical Analysis Report [Facades Study], the
evaluation of two types of laminated glass applied to the facades and atrium roof, and the
use of automated blinds applied to the North facade was carried out, and the final glazing
specification was provided by the architectural design practice.
Nonetheless, according to the report, the design was still not in compliance with the
minimum goal of reducing 10% of the annual energy cost; there was the need to maintain
the adoption of the strategies listed above. It was concluded that only with the adoption of
North facade blinds, along with the use of heat recovery system as well as the dimerization
next to the facade was it possible to comply with the minimum goal of 10%.

4. Results and discussion


As seen from exploratory study, there seems to be a growing demand by LEED certification
in Brazil and, consequently, of interest in demonstrating building compliance with ASHRAE
90.1 through energy simulations. It also corroborates Cavalcante (2010) and Paula and
Melhado (2012) statements regarding consulting firm participation in the project team
promoting the environmental requirements inclusion at the design stage.
Paula e Melhado (2012) discussed the suitable time to perform energy simulations. Based
on the interviewee experiences, the moment for the first simulation is right at the beginning
of the design process (preliminary design), when the consulting firm can provide appropriate
feedback to the design team. Otherwise, there will be a lot of rework or the building will not
be certified. Simulation yield is provided in contract, but new organization forms of the design
team could be discussed, in which the consultant works directly with the architectural firm in
order to provide simultaneous and continuous feedback instead of three simulation times
preliminary, intermediate and final simulations.
Energy simulation is required by most environmental certification schemes. Despite the
requirement, simulation should be discussed concerning building performance. Thus,
designers, especially architects, could discuss the need of some studies with the use of
software or not in the design conception, such as building geometry study, attempting to
anticipate the concerns about energy efficiency and environmental requirements as a whole.
In this way, it seems the consultant presence should be anticipated, too.
Energy simulation process mapping (Figure 2) is the first step toward definition of strategies
to integrate energy simulation in the design process, which needs to be tested and validated.
As demonstrated by Inmetro (2012) and Mendes et al. (2005), the energy simulation is a
new activity in the Brazilian market. Thus, mapping can help designers to understand the
relation of design disciplines with simulation; the simulation as a process (input processing
output); the responsibilities involving data simulation and how to organize them with other
players; the importance of providing data for the simulation.

31

As stated by Paula and Melhado (2012), there is a major challenge towards integration of
energy simulation in the design process, as the building design process itself is not mapped
in Brazil. Moreover, the standards are outdated and the manuals are not used. The
interviewee recognized the importance of design process management, activity planning and
design coordination. As a whole, this, therefore, presents a research opportunity.

5. Concluding remarks
The suggested procedure of mapping, identifying, defining, testing and validating strategies
contributes to integration of new activities or requirements into a given process. In other
words, it can be used to integrate energy simulation or environmental requirements in the
building design process. This paper focused on the first step (Figure 1): the barriers that
needed to be studied. The research will be continued, as the design process and the energy
simulation process need to be discussed with the players involved in building production, in
order to develop guidelines transferable to the market.
BIM has widely been discussed and one of its premises is integrated design. The mapping
procedure is a stage until the time when there will be the expected maturity in the application
of this concept.

6. Acknowledgements
The authors thank the interviewed consultant for his kind participation and CAPES for the
financial support granted.

References
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de Escritrio alm da Comprovao de Conformidade com Cdigos de Desempenho, So
Paulo, Faculdade de Arquitetura e Urbanismo da Universidade de So Paulo. (Masters
Dissertation, in Portuguese).
FOSSATI M, MORISHITA C, LAMBERTS R (2011) A Eficincia Energtica em Edificaes
e a Regulamentao Brasileira, RBEE Revista Brasileira de Eficincia Energtica, v. 1, p.
5-14, 2011. (Journal article, in Portuguese)
Gil A C (2008) Como Elaborar Projetos de Pesquisa, So Paulo, Atlas. (Book, in
Portuguese)
Inmetro (2012) Tabela de Edificaes Comerciais, de Servios e Pblicos, (available online
http://www.inmetro.gov.br/consumidor/pbe/tabelas-comerciais.pdf
[accessed
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[accessed
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15/11/2012]).

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Melhado S B (1994) Qualidade do projeto na construo de edifcios: aplicao ao caso das


empresas de incorporao e construo, So Paulo, Escola Politcnica da Universidade de
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Brasil, Ambiente Construdo, v. 5, n. 4, p. 47-68, out./dez. 2005. (Journal article, in
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(2012)
RIBA
Outline
Plan
of
Work:
Overlays,
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(avaiable

online

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Innovations in the Brazilian Regulations for Energy Efficiency of Residential Buildings,
Architectural Science Review, v. 55, n. 1 , p. 71-81, feb. 2012.

33

A Conceptual Decision Making Model For Design


Information Maturity
Raymond R. ZOU1, Roger FLANAGAN2 Llewellyn C.M.TANG3
Abstract
The efficiency of a design process has a close relationship with effective information management.
However, the increasing volume of digital information makes effective information management in
construction organisations more difficult, in particular on retrieving high value, high quality and more
importantly mature design information when it is needed. There is an urgent need to develop a tool
that can assess or indeed increase the maturity of any design information for the ease of storage,
retrieval and reuse with suitable information management tools. The engineering industry has been
striving for this for many years, they have been attaining success on capturing design rationale. The
aim of this paper is to demonstrate how the concept on capturing design rationale from the
engineering industry and its tool called design rationale editor (DRed) can be incorporated as a new
tool called DRed-based decision making model that can be used in the design stage of construction.
It can capture and evaluate design rationale and hence help designers to make better and effective
design decisions through the increased design information maturity. The definition or concept of
information maturity in construction has indeed yet to be explored and will be included as a major
future work, others include to demonstrate how design rationale can be captured and edited along
the digital life cycle through the use of real case studies, and to address any issues and limitations
on its applications in the industry.
Keywords: Design, decision-making, information management, maturity, modelling.

1. Introduction
The challenge in a construction project derives from different organisations relying on a large
number of various interrelated data sources, without a proper way or tool to manage these sources
in a convenient, integrated and principle norm (Franlin et,al 2005). In other words, a clear and
concise understanding on the data or information received between different stakeholders such as
designers, engineers and other construction professionals at the conceptual design stage are one of
the key element to a successful project, as good design decisions can be generated in an early
stage of a project (Raisbeck and Tang 2009). Indeed, Good design decisions at an early stage can
demonstrate a constructive approach to planning requirements and greatly reduce the risk of costly
later revisions. (RIBA 2011). Kats (2003) proclaimed that a slight increase in the upfront cost of 2%
is to support sustainable design, which on average, leads to a building life cycle saving of total
1

PhD Candidate, School of Construction Management and Engineering, University of Reading, Whiteknights,
Reading, RG6 6AW, rui.zou@pgr.reading.ac.uk
2
Professor, School of Construction Management and Engineering, University of Reading, Whiteknights,
Reading, RG6 6AW. r.flanagan@reading.ac.uk
3
Associate Professor, Head, Department of Architecture and Built Environment, University of Nottingham
Ningbo, China

34

construction costs approximately 20%, which is equal to the initial investment of the construction
project more than 10 times. Throughout the life cycle of a construction project, key decisions made
at the design stage of the whole design process can generate significant impact on the product the
way to be produced and marketed. These design decisions to be generated at the design stage
have become more complex within the contemporary construction projects because the solution
sets and information flow are becoming highly dynamic. In addition, the process of elaboration and
refinement of issue, alternatives, and decision criteria itself is an important component of the
problem (Tiwana and Ramesh 2001), which concerns not only the conventional objectives (cost,
time and quality) but also the issues of environmental management and sustainable construction.
Early development of design support systems (Adeli and Hawkins 1991; Berraris and Watson 1994;
Kolodner 1991) are therefore conducted with the aim of assisting designers in the management of
this extensive and complex information, and of providing some autonomous problem-solving
abilities in the early design stages. Emphasis had also been put on providing more accurate and
high value information for building performance analysis and evaluation (Klashner and Sabet 2006).
In recent years, the rapidly expanding demands of data everywhere or information overloads have
led to a field consisted of interesting and productive efforts, but without a central focus or
coordinated agenda (Franlin et al 2005). The application of digital design tools, such as Building
Information Modelling (BIM) breaks down certain information flow barriers and at the same time
bridges communication between extended design and construction teams. It is recommended to
adopt BIM to meet the demand on new levels of quality in construction and new services in order to
deliver the 40-year carbon reduction programme (BIS 2010). However, within the BIM application it
is found that there are still some communication barriers among the stakeholders such as the
designers, developers, planners and civil engineers on the deficiency of generating reliable
information within and across project teams, when a mechanism for the justification (e.g. costs and
benefits) on using BIM has to be provided (BuildingSMART 2010). Extrapolating from US derived
figures, the net benefits of BIM to the UK would account for between 1-2.5 bn p.a. in the
construction phase. Commercial data from the UK construction sector also showed a consistent
reduction of 8-18% of cost associated with design stages C to E of RIBA Plan of Work, including
concept, design development and technical design, while the upside potential of saving could be as
high as 40% (BIS 2011).
The difficulties of retrieving high value, high quality and mature design information during the design
process can sometimes be considered as a major insufficiency of existing digital decision tool,
which leads to the disparity between the reality and the prediction or simulation of any digital
building models (Moffatt and Kohler 2008). During the design process of a construction project,
stakeholders decisions become highly subjective due to the increased problem complexity and
additional project objectives (Nemati et al. 2002). In other words the capability of designers to
retrieve and utilise information is critical to the outcome of a project in a design process. The volume
of digital information has indeed been increased substantially; any characterised immature
information (Hanssen 1997; Helms 2000) can confuse designers and result in the possibility of
rework in the design process, and thus causes an improper decision being made that could cause
fatal consequences. On the contrary, the provision of mature information can help designers make
effective decisions in avoidance of adopting any unstable, imprecise and incorrect information that
can facilitate effective information management.

35

The capture and evaluation of design rationale in the engineering industry have proved to be
efficient on assessing design options (Bracewell and Wallace 2003; Bracewell et al. 2009). This
technique can find out the reasons of selecting one option over another. It is said that the
implementation of this technique offers not just the evaluated decisions only, but also provides
visualisation and justification of any arguments among immature design decisions, and can possibly
make a significant impact on a collaborative design process. This paper demonstrates the use of
capturing and evaluating design rationale in the engineering industry or its tool called design
rationale editor (DRed), in particular on how they can be incorporated as a tool (a DRed-based
decision making model) to assess the design information maturity at the design stage of a
construction project, in the end helping designers and other construction stakeholders to make
better and effective decisions in a digital environment. The three major research questions are:

What is information maturity in a design process?

How can it be increased through the evaluation and capture of design rationale?

Why is it important to adopt this developed model on collaborative design in


construction project e within design stage?

2. Nature of information in construction


Construction is a process which consists of several identifiable stages i.e. preliminary design,
conceptual design, detail design and construction (RIBA, 2011). These stages are too broad and
consist of many sub stages dealing with lots of information in order to achieve completion of every
stage. Hicks et al. (2002) said information is defined in two classes in engineering design: formal
information (provides a specific, structured context and measure) and informal information
(encompassing unstructured context, measure and description). Tang et al. (2007, 2008) and Zhao
et al (2008) defined that the hierarchy consists of three stages in two main levels: recorded and
personal (See figure 1). In analogue to the "Iceberg model" defined by Quintus (2000) that illustrates
knowledge as explicit, implicit and tacit. Tang et al. (2007, 2008) defined "knowledge can be explicit
(recorded or codified in some way), implicit (in the mind) or even tacit (cannot be recorded and
codified in any format). Explicit knowledge can be stored as information".

Figure 1 Codified and personal knowledge (Tang et al. 2007, Zhao et al. 2008)

36

Figure 2 Personal and recorded information flow between stakeholders in construction


Designers are dependent on each other for information exchange: both recorded and personal. All
design information is uniquely designed, structured and applied to complete a task in a project.
Communication is a multidimensional flow of information exceptionally as shown in figure 2.

3. Nature of information in construction design process


Design is often described as a creative activity that is hard to support with exact science (Moran and
Carroll 1996). A design process can be viewed as a set of inter-related activities, by different
internal and external activities which are performed to increase knowledge, and increase certainty in
relation to the design solutions. For example, designers need to cope with different requirements
such as the size of beam, pillar, and space inside of the building to adapt different uses and scopes
of the project. When a basic understanding of the task is achieved, designers have to choose
appropriate methods. After that, when the decision on how to proceed is made, its evaluation will be
taken place using tools, for example, BIM, CAD drawings and finite element analysis. Whether the
design process is starting over again or not is subject to the decisions made satisfying the design
requirements, otherwise a re-evaluation is necessary. Conceptual design process can be
characterized by a series of actions including formulation, analysis, search, decision, specification,
and modification. The actions characterised above at the early design stage of a project are shown
to be highly interactive many years ago (Jense and Tonies 1979). In fact, the use of information
management and technology tools on facilitating effective information management still need to be
improved. The introduction of BIM helps address the iterations of redesign in order to refine or
amend the functional requirements, design concepts and financial constraints of a project.
As the project moves on from conceptual design to detailed design, the design process becomes
more structured. In the stage of detailed design, they are represented by specific steps with less
random and uncertain design interactions. Since design problems are large and complex, they have
to be decomposed to yield sub-problems in order that which the size can be solved. The integration
of sub-problems often creates conceptual conflicts that must be identified and corrected. E.g.
Darlington et al. (2008) discussed the foundations of a framework for information evaluation. It also
identified and defined a number of important variables e.g. the objects of evaluation, the high-level
operational contexts in which evaluation takes place, the motivations and post-evaluation actions
associated with these contexts and how they and information entity attributes can be mapped on to
the information life cycle. This leads to the questions of how good the value and quality (Tang et al.

37

2010) and more importantly how mature the design information is in order to avoid unnecessary
design reiterations. A decision making tool is therefore needed to measure and increase design
information maturity in a design process.

4. The concept of Information Maturity


Right information needs to be available at the right time in the right format to the right person
(Winch 2002). The term 'right' highly relates how 'mature' the information is, which has a converse
meaning against immature information (Hanssen 1997; Helms 2000; Grebici et al. 2006). There is
little literature defining the maturity of information where immature information is defined as
tentative, untested and possibly incorrect information. In construction, the lean management model
proposed by Sacks and Goldin (2007) presented that this method facilitates the replacement of a
fixed activities network to be scheduled for the purpose of works' completion dynamically. In order to
achieve this goal, the schedule of the finishing process should be done according to the maturity
level of the clients and designers changes to design. In construction production phase, maturity is
measured according to the state of readiness of a work package or a task (Sacks et. al 2010).
Watson (1998) stated that in construction the accumulated data becomes information when it is
mature enough and ready to be passed on from one discipline to another. Immature information will
be flown from one stakeholder or knowledge broker to another. In this paper, in simple terms,
mature information is defined as certain information (e.g. stable, precise and complete) that
can be passed on to the next stage of a design process with the least possibility and
probability of re-iterations and/or other associated uncertainties, which can cause significant
impact on the collaborative design decisions among different designers. The demonstration of
the idea of information maturity for decision-making derives from the design of London tube map
which is shown in Figure 3 (a). The design of London tube map desperately is keen to provide the
clearest information for passengers, no matter whoever originates, terminates or passes through
from one stop, somehow a user can find out the fastest route to the venue easily with the least
distance. In terms of the application of this tube map idea in assessing the level of information
maturity for making the optimised decision, the design process as a whole will be fragmentised into
a number of design packages, design options generated within each package will be assessed
towards its information maturity level respectively, eventually the final optimised design decision will
be made combined with the consideration of stakeholders preferences, project goals and
expenditure. The concept can be interpreted in Figure 3 (b) about how the information to be
assessed in relation to its maturity level.
The parallel coordinates plot as shown in Figure 3(b) provides an alternative view of the design
space. The ranges of information maturity level for each design package are represented as a
vertical axis (increasing from the bottom to the top). Each colour line represents a design option. As
shown in the figure, the lines on the top over the red horizontal axis represent three design options
(purple, red and blue) with relatively more mature information towards to the right hand side of this
maturity map. Within all travel routes or design options, it takes into account all decision-making
criteria that encounters certainly, uncertainty, risky, possibility and probability issues when
assessing multiple design options. The point where each line intersects a vertical axis represents
the level of the corresponding information maturity criterion of a particular design package.
Visualising results in this form allows the designers to identify quickly the range of information
maturity level. For example, it can see that the best designs at beam section have higher volume of

38

information maturity level above the red horizontal axis. The best design option for instance varies
after passing through the entire column section, of which its maturity level is going down obviously.
It indicates that the design options for column have high influence on the design performance.
The parallel coordinates plot as shown in Figure 3(b) provides an alternative view of the design
space. The ranges of information maturity level for each design package are represented as a
vertical axis (increasing from the bottom to the top). Each colour line represents a design option. As
shown in the figure, the lines on the top over the red horizontal axis represent three design options
(purple, red and blue) with relatively more mature information towards to the right hand side of this
maturity map. Within all travel routes or design options, it takes into account all decision-making
criteria that encounters certainly, uncertainty, risky, possibility and probability issues when
assessing multiple design options. The point where each line intersects a vertical axis represents
the level of the corresponding information maturity criterion of a particular design package.
Visualising results in this form allows the designers to identify quickly the range of information
maturity level. For example, it can see that the best designs at beam section have higher volume of
information maturity level above the red horizontal axis. The best design option for instance varies
after passing through the entire column section, of which its maturity level is going down obviously.
It indicates that the design options for column have high influence on the design performance.

Figure 3 "Tube map" concept for assessing information maturity in a design decision space
(Source from Google images: http://www.google.com/imghp )
In other words, the expected and targeted certainty among designers and other stakeholders on
different design options (uncertainties) are lined up so that mature information is provided as an

39

input certainty for the stakeholders in the next stage of the project life cycle. For instance, the
optimised design option would be interpreted as the mature one with the highest level of information
maturity.

5. Design Rationale Editor (DRed)


The advantage of an accurate design maturity assessment facilitates less re-design, the
organisations can measure their designs' maturity in process (O'Brien and Smith, 1995). The
understanding of designers' interactive processes and thinking should bring up methods for maturity
assessment which allow decision-makers and stakeholders to forecast the level of risk on releasing
a design option (O'Brien and Smith, 1995). Cambridge Engineering Design Centre has carried out
the research into information capture, storage and retrieval for 20 years. Lee (1997) did a review
about the advantages on the available of design rationale capture tools while the pioneering work
dated back to 41 years ago by Kunz and Rittel (1970) who developed Issue-Based Information
system (IBIS). A tool called Design Rationale Editor (DRed) has been developed to assist the
designers to structure their design thinking, to capture their rationale, and to reduce the need for
paper work (Bracewell et al. 2009). DRed has been popularly adopted in Rolls-Royce in the design
stage of production. The aim of this paper is to propose the use of this tool as part of the tube map
idea and extend the development of it in relation to the definition of information maturity in
construction, not only to capture the design rationale but also to increase the design information
maturity. Once the design rationale comes into the design process, which becomes an important
factor when making a final decision on which design option works and what does not. The major
difference on using DRed is to understand design rationale for taking design decisions by weighting
multiple aspects together in three stages of the traditional design process in engineering. It is a
linear process that consists of design task, its creation and evaluation (see figure 4).

Figure 4 Traditional design process in engineering vs the use of DRed in a design process
DRed as a design rationale capture tool its potential has been proved to be able to improve the
design process. Lee (1997) listed the advantages on using DRed that include the provision of better
support for re-design, learning, reuse, maintenance, documentation, project management and
collaborative work. It also allows "designers to record their design rationale at the time of its

40

generation and deliberation". Functionally DRed can be complemented with the analysis of BIM,
CAD tools, Office, web and communication applications of which designers use to support their dayto day activities. As DRed facilitates the creation of an optimised design portfolio which is structured
according to the dependencies in the design rationale, through the capture and evaluation of design
rationales, it can finally increase design information maturity routinely in a design process.

6. A developing DRed-based decision making model


The design of a new facility often begins with the search of most relevant information for a design.
In order to support collaborative design between designers, this section shows how the DRed can
be incorporated as a tool to evaluate and capture design rationale of designers and hence to
increase the maturity of design information in a design process. Obviously the relationship between
designers and other stakeholders, such as clients, engineers, contractors, can be realised as both
information provider and information user, so information maturity must respond to an agreed level
of certainty between designers and other stakeholders. Figure 6 shows this proposed DRed-based
decision-making model. The design rationale is displayed in a document as a graph of nodes linked
with directed arcs. The user creates the nodes by choosing from a predefined set of element types.
The key element types are: issue, answer, and argument (Bracewell et al. 2009). Questions to ask
include:

What design rationale is worthy to capture?

In what form is it after captured?

Once the design rationale has been identified, captured, evaluated and stored, how to
share it with other for reuse?

As for the application of DRed, designers start on the basis of forming theories against the causes
of the potential problems, and are keen to find out the evidence to support and object them. DRed
can be used to capture the track of this diagnostic activity during its proceeding, and figure 5 shows
the resulting chart with the diagnosis of changing curtain materials by the use of traffic-light
coloured system. All the elements in DRed chart are given a colour which represent the elements in
various statuses. Decisions are captured by manual changes on the colour, for instance from red to
green. The element with green colour means the designers are satisfied with the diagnosis result,
which is precise, complete and correct (that is, mature) such as the issue Design simplification
weight and cost reduction as shown in figure 5. Conversely if an element is not satisfied by the
designers, it is marked as insolvable, which is displayed as red colour, e.g. the issue of Risk of
increased maintenance cost in figure 5.
A designers diverse assumptions are captured and evaluated as answered elements, which go up
along the upstream routine until the ultimate issue is eventually resolved. For a successful
resolution to a design issue that relies on the number of answers of sub-problems being accepted, it
is said that the more number of answers of sub-problems being sorted out, the higher percentage of
the issue has been resolved. Hence the maturity of that piece of design information increases until it
reaches its optimised level (see figure 6).
Through visualising the design rationale, the developed model can:

41

monitor the design behaviour


thinking,

and improve the richness and clarity (Bracewell et al. 2009) of recorded information
non personal as shown in figure 1 and hence increase the design information maturity. It
helps line up and liaise the targets and expected certainty between designers and other
stakeholders (see figure 6).

through assessment and capture immediate design

Figure 5 A demonstration of a DRed-based decision making model for changing curtain


walling system in conceptual design stage

Figure 6 The impact of collaborative DRed on the information maturity of a design process

7. Future works
In this paper, the definition of design information maturity in construction has yet to be explored and
will be included as the major future work, others include demonstrating how design rationale can be
captured and edited along the life cycle in the BIM environment (e.g. through the pre-construction,
construction, post-construction and facility management), by the use of real case studies. There is a
need to address any issues and limitations on its applications in the industry, in particular:

42

How should the design descriptions (in terms of richness of the recorded information) be
associated with the levels of information maturity?

Which attributes of mature information in each description should be included in the


model?

How can the measurement of future values of the information maturity be carried out?

How should the design rationale evaluation be carried out with multiple designers?

Which barriers have limited the application of this developed model, and how can they
be overcome in the construction context?

How does the model impact the design thinking and behaviour of designers?

Furthermore, acting too early or too late can turn a good decision into a mistake. This untimely
information flow has been proved to affect the quality of decision-making in a design process
(Whelton and Ballard 2002). The time of capturing design rationale needs to be explored in a
greater extend. McKenna (1994) realised this kind of decision-making model as bounded rationality
and suggested that it should include three investigation processes: sequential consideration of
alternatives, using heuristics to identify the most appropriate alternatives, and choosing on the basis
of the identification of the first acceptable solution.

8. Conclusion
Information is getting increase in the volume of digitalisation, while some of the intrinsic
characteristics e.g. value, quality and as a whole the maturity of it needs to be explored in a design
process. Particularly there is a need for a state of art construction form to maintain construction
firms competitiveness through assessing/increasing the productivity of designers or the costs and
benefits of a design in a digital environment such as BIM. This paper shows that it is highly possible
to develop a collaborative Design Rationale Editor (DRed) decision-making tool to facilitate
designers in making effective decision in the design stage of a construction project. Through
understanding the nature of information in construction reveals that the identification of mature (i.e.
high value, high quality, least possibility and probability on design re-iterations or other associated
uncertainties) information should be beneficial to bring out effective design decisions in the design
stage of a project. However, the concept of information maturity in construction has not yet been
explored. In particular, when facing uncertainty and design changes among designers and different
stakeholders, the developed DRed-based decision making tool shows that it provides a systematic
and informative way to show the optimised design decision through capturing and evaluating design
rationale of designers, which is a concept adopted from the engineering industry. In conclusion,
there is a need to apply the proposed model in construction to be embedded in the digital working
environment, and hence to increase the information maturity level of design information among
designers in order to facilitate effective information management.

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46

The Role of the DQI in Managing Stakeholder


Requirements in Construction Projects
John M. Kamara1
Abstract
The Design Quality Indicator (DQI) tool was developed to allow stakeholders connected with
a construction project to define indicators that can used to assess the design and
construction quality of a building. While it is primarily focused on design quality issues, it
also fosters communication and the management of expectations among stakeholders at
various stages of a project. This paper explores how the DQI contributes to the
management of stakeholder requirements on construction projects. A review of stakeholder
management principles in construction is followed by an overview of the DQI tool with
respect to its underlying philosophy and practical application on projects. Case studies on
how DQI was used on particular projects and the perceptions of users are then presented
and discussed against their potential contribution to stakeholder requirements management.
The paper concludes with insights into the possibilities and constraints in the use of the tool.
Keywords: Clients, Construction Projects, DQI, Stakeholder Requirements
Management

1. Introduction
The development and delivery of construction projects involves various stakeholders who
influence or are affected by such projects. While the client, as promoter of the project, is
central to this process, the needs and expectations of many other groups (e.g. users,
designers, legal authorities, the general public, etc.), which can sometimes be contradictory,
need to be incorporated and/or accommodated in a project (Kamara et al. 2002). The
effective management of these stakeholders is therefore now considered as a key ingredient
to project success (Newcombe, 2003; Olander, 2007; Chinyio and Olomolaiye, 2010).
The categories of stakeholders and their relative influence on a project varies depending on
the type of project and stakeholder. They can be individuals or groups, or they can be
internal to the client organisation, or external to it. A key strategy for their effective
management on a project is the identification and assessment of their relative importance on
a project (Olander, 2007). Various approaches for stakeholder have also been proposed
(e.g. Chinyio and Akintoye, 2008; Manowong and Ogunlana, 2010; van Gunsteren, 2011).
This paper explores the role of the Design Quality Indicator (DQI) tool in managing
stakeholder requirements in construction projects. DQI was developed in the UK to allow
stakeholders connected with a project to define and assess the design and construction
1

School of Architecture, Planning and Landscape, Newcastle University, Newcastle upon Tyne, NE1
7RU, UK; Email: john.kamara@ncl.ac.uk

47

quality of a building. Whilst it is primarily focused on design quality issues, it also fosters
communication and the management of expectations among stakeholders at various stages
of a project (the focus of this paper is on the latter and not on assessing design quality
outcomes). A review of stakeholder management in construction is followed by an overview
of the DQI tool with respect to its underlying philosophy and practical use at various stages
of a project. Case studies on how it was used on particular projects and the perceptions of
users are then presented and discussed against the principles of stakeholder management.
The paper concludes with insights into the possibilities and constraints in the use of the tool.

2. Stakeholder Management in Construction


The importance of stakeholders and the need for their management on construction projects
is now becoming well recognised. At the very least the regulatory requirements imposed on
projects through, for example, the planning and development control process in many
countries, requires the consideration of interests other than those of project promoters. But
usually, given the complex and uncertain nature of construction projects, the active
consideration of stakeholder requirements is necessary for project success (Newcombe,
2003; Olander, 2007; Van Gunsteren; 2011). Stakeholders are persons or groups with
legitimate interest in the procedural and/or substantive aspects of corporate activity
(Amaeshi, 2010:16). From a construction project perspective, Olander (2007:279) defines a
stakeholder as a person or group of people who has a vested interest in the success of a
project and the environment within which the project operates, [with] vested
interestdefined as having possession of one or more of the stakeholder attributes of
power, legitimacy or urgency. These, and the many other definitions of the concept, suggest
that there are different types (e.g. individual or group) and categories (e.g. with respect to
the relative influence on a project) of stakeholders. These categories include: internal and
external stakeholders (i.e. those actively involved in project implementation, and those
directly affected by the project, respectively) (Olander, 2007; Leung and Olomolaiye, 2010);
and primary and secondary stakeholders (i.e. those with whom a firm has a fiduciary
obligation to, and those where such obligations do not exist, respectively) (Amaeshi, 2010).
Other categorisations by Newcombe (2003); Smyth (2008) and Chinyio and Akintoye (2008)
are more generic and relate to how the relative influence of stakeholders can be mapped. An
example of this, which is illustrated in Figure 1, compares the power to influence against the
level of interest of stakeholders as a way to determine the strategies for their management.

Endeavour to keep
these satisfied

Manage these
constantly

Low

Monitor and respond


when necessary

Keep these informed


regularly

Low

High

Power

High

Interest

Figure 1: A power-interest grid for assessing stakeholders (Chinyio and Akintoye,


2008)

48

The management of stakeholders is usually underpinned by a number of paradigms.


Amaeshi (2010) identifies three interrelated perspectives: the descriptive, instrumental and
normative perspectives. The descriptive perspective, as the name suggests merely
describes what the corporation is, and the interactions with its stakeholders. The
instrumentalist perspective goes beyond mere description by looking at consequences of
stakeholders (i.e. their relative influence) on the interests of the firm. Stakeholder
management strategies arising from this perspective are usually driven by the firms selfinterest, characterised by a one-way, top-down communication, without any real voice being
given to stakeholders. The normative perspective is underpinned by morality; that the
engagement with stakeholders is the right thing to do. The premise is that: the interests of
all stakeholders are of intrinsic value [and] each group of stakeholders merits consideration
for its own sake and not merely because of its ability to further the interests of some other
group, such as the shareowners (Amaeshi, 2010:16).
Smyth (2008) makes reference to utilitarian approaches to stakeholder management (similar
to the instrumentalist perspective above), and proposes an ethics of care approach (similar
to the normative perspective that provides an alternative moral philosophy based upon
outcomes for managing stakeholders (p. 634). He argues that since power carries
responsibilities, it is not helpful to map interests of stakeholders against power; but rather, it
is more ethical to map interests against responsibility. He therefore recommends that
stakeholder management theory needs to move away from approaches underpinned by
skewed utility and from self-interested power-based analysis towards recognition of
responsibilities for ethical care employing proactive management, [such as] relationship
management (Smyth, 2008:641).
It is acknowledged that because of the competing (and often contradictory) needs of
stakeholders on a project, stakeholder management is more about managing expectations
rather than achieving consensus. A first step to stakeholder management therefore involves
the identification and assessment of the relative importance (prioritisation) of stakeholders
on a project (Manowong and Ogunlana, 2010). This mapping is seen as an on-going
process since the relative influence of a particular stakeholder can change over the lifecycle
of a project (Newcombe, 2003; Chinyio and Akintoye, 2008). Depending on the type and
importance of stakeholders, various levels of stakeholder management can be adopted.
These include: informing, consulting, involving, partnering/collaborating, or a mixture of all of
these (Manowong and Ogunlana, 2010). A range of approaches (or tactics) can also be
adopted. Research by Chinyio and Akintoye (2008) on practical approaches adopted by
some UK construction organisations identified, what they classify as, underlying approaches
(e.g. developing a systematic way to engage with and manage stakeholders, providing toplevel support, being proactive, maintaining existing relationships and responding to powerinterest dynamics) and frontline approaches (e.g. effective communication, use of trade-offs,
incentives, concessions, workshops, and various people skills). One of the conclusions from
their research was that approaches for engaging with stakeholders need to be varied. This
paper therefore introduces the Design Quality Indicator (DQI) and its potential for
stakeholder management on construction projects.

3. The Design Quality Indicator (DQI)

49

The Design Quality Indicator (DQI) is an assessment tool for evaluating the design quality of
buildings (Whyte and Gann, 2003:387). It was developed in the late 1990s (and launched in
2002) by the UK Construction Industry Council (CIC), as a counter to the dominance of
process measurement in terms of Key Performance Indicators (KPIs) that did not consider
building design quality (Gann et al; 2003; Odgers and Samuel, 2010) (There are separate
DQIs for schools and healthcare buildings, launched in 2005 and 2012, respectively). The
motivation for DQI stemmed from the realisation that good design has a positive contribution
to the quality of peoples lives, and those who are affected by such designs should be
involved in defining and assessing that quality (CABE, 2006). The DQI focuses on engaging
the whole stakeholder community in setting and assessing design priorities throughout the
building process (http://www/dqi.org.uk). It combines objectivity and subjectivity in
assessing priorities, and thus sits in the middle between the judgement-based and rational
(measurement) approaches to quality assessment (Gann and Whyte, 2003).
The definition of design quality adopted in the DQI is based on Vitruviuss principles of
Utilitas (Commodity), Firmitas (Firmness) and Venustas (Delight). The respective terms used
are: Functionality (the way the building is designed to be useful), Build Quality (the
construction and performance of the building), and Impact (wow factor; the buildings ability
to create a sense of place and a positive effect on the local community and environment).
Functionality is defined with respect to: access, space, and uses; Build Quality aspects are:
performance, engineering, and construction; Impact with respect to: urban and social
integration, internal environment, form and materials, and character and innovation.
The setting and assessment of design priorities is based on a standard set of questions (the
DQI questionnaire 99 questions for standard DQI, and 113 for DQI for Schools DQIfS)
under each of the quality areas (i.e. access, spaces, etc.) outlined above (e.g. the building
should provide good access for everyone; the building should be easy to operate, the
building should be a pleasure to use, etc.). The whole process involves a DQI Leader
(somebody within the project team who champions the process), project stakeholders
(users, clients, members of the design team, contractors, community members, etc.), and an
independent DQI Facilitator (trained and approved by the CIC to run DQI workshops). There
are four stages in the process: briefing, mid-design, ready for occupation, and in-use. During
the briefing stage the key aspirations for the project are developed through discussion and
consensus. Stakeholder views and priorities are recorded in the online DQI Briefing Record.
Priorities are defined by assigning either Required, Desired, Inspired or Not Applicable to
each of the statements on the DQI questionnaire. A Required tag (e.g. against the
statement: the building should provide good access for everyone) indicates that minimum
standards and regulations will satisfy that aspiration. A Desired tag implies a design
intervention beyond minimum standards (or where there are no defined minimum
standards); an Inspired tag implies a greater level of design innovation far beyond minimum
standards (Table 1). A typical Briefing Record will have a greater proportion of Required
statements compared to Desired and Inspired statements. The graphical representation
(line graph in Figure 1a) provides the basis for assessing the design and completed building
in subsequent stages of the DQI process.
Table 1: The language of the DQI Tool (Source: http://www.dqi.org.uk)

50

Required

Desired

Inspired

Not Applicable

Articulated by
demand side

Compliance with
standards,
regulations and
quantified minimum
targets

Setting targets for


building
performance
beyond the
minimum required

Inspiring goals and


standards. Reference
to special buildings

Because of the
scope of the
project, cannot
be achieved

Achieved by supply
side

Working to
accepted good
design and
construction
practice

Integrated design
solutions to practical
matters

Imaginative synthesis
of design strategies to
create a special
ambience and
response of delight.

Is not achievable

During the mid-design, ready for occupation and in-use stages, the DQI assessment tool,
which contains the same set of questions in the DQI questionnaire, but worded slightly
differently (e.g. the statement on access mentioned above becomes: the building provides
good access for everyone, in the assessment tool). Instead of required (etc.) tags, each
statement has a likart scale where respondents have to tick one of eight options (strongly
disagree, disagree, tend to disagree, tend to agree, agree, strongly agree, not applicable,
dont know). The assessment can be done on paper or directly online, but all results have to
be entered online to allow comparison with the briefing record. The scores of each
respondent are aggregated and represented in various output graphs, illustrated in Figure 1.
Table 2 contains the descriptions of each graph.

(a)

Briefing
Record Score

(b)

Section
Scores

(d)

Quality
Dimension

(c)

Weighted
Section Scores

Figure 1: DQI Output Diagrams (source: http://www.dqi.org.uk)


Table 2: Description of DQI Output Diagrams

51

Diagram

Description

Briefing
Record
Output

This graph compares the results from the DQI assessment with the Briefing Record profile. The
target line is the maximum the design can achieve. The bars display the results from the
assessment and highlights how well the design has been judged to perform against the target.
The height of the bar (i.e. how near or far it is from the target line) is a measure of how well that
aspect of the design is meeting the target.

Section
Scores

This is a spider diagram scaled between 0 and 6. It displays the average of respondents
answers to each section. The higher the score (the further out) the better the respondents felt the
design was achieving that characteristic.

Weighted
Section
Scores

This graph shows the 10 sections of the main headings. It takes into account the weightings
allocated to all the sections and the overall weightings and sets these against the individual
responses made in each. This graph allows you to see what the most important sections are
(overall length of the white line). The green line indicates how well the design is performing in
each section.

Quality
Dimensions

This graph illustrates the overall DQI and is scaled between 0 and 100%. It visualises two sets of
results; firstly it takes into account the overall weightings allocated to Functionality, Build Quality
and Impact, and secondly its sets these against the individual responses made to the statements
within those three fields.

Each stage of the DQI process is usually implemented via a workshop that is facilitated by
the DQI Facilitator, in close collaboration with the DQI Leader, and can last from between
2hours to a full day, depending on the stage of assessment, number of participants and type
of project. Increasingly the mid-design stage assessment has also been used as part of a
bid-evaluation process.

4. Research Methodology
The objective of the research reported in this paper was to explore the role of the DQI tool in
managing stakeholder requirements (the issue of design/project outcomes with respect to
design quality was beyond the scope of what is being reported here). It is based on case
material from DQI workshops for two projects. Given that the DQI process stipulates the
involvement of a cross-section of project stakeholders, the key question was therefore
around the perception of these participants on the relevance of the tool in enhancing their
engagement with the project. The key source of data was therefore based on the standard
feedback questionnaires completed by each participant at the end of a DQI workshop. The
questionnaire asks participants to rate (from excellent, very good, satisfactory,
unsatisfactory, poor) the appropriateness of the DQI tool, the format of the DQI session, and
the quality of facilitation. Space is also provided for respondents to include qualitative
comments on each section, and on the overall process. A description of the workshop
process and the feedback scores and comments from two projects (A and B) (described in
Table 3), are presented here. Some of the comments have been slightly altered to maintain
anonymity and/or aid clarity, by the insertion of a [square bracket]. The outputs from each
workshop, spread of stakeholders, and feedback scores will provide the basis for analysis.
Lack of space prevents the inclusion of a wider variety of projects. However, the selected
projects and type of stakeholders are relatively diverse enough to provide some insights into
the process and its relevance in the management of stakeholder requirements on projects.
Table 3: Details of project cases

52

Project

Type

Brief Description

DQI Workshop

No. of
Participants

A Fire and Rescue


Authority, Private
Finance Initiative project

The project involved the construction


of 4 new community fire stations and
a community life skills centre

Briefing Workshop

18

County Council Primary


School

A replacement new-build primary


school, to be built on the existing site
of the school

Mid-Design
Workshop (23
May 2011)

(15 July 2008)


22

5. Findings from Cases


5.1.

Project A: DQI Briefing Workshop

The objective of the workshop was to develop consensus among various stakeholders
associated with the project, about their aspirations for the project, and to specify which
aspects of the design are Required, Desired, or Inspired. The development of the Briefing
Record and associated aspirations for the project was done in two stages. The first (preworkshop) stage involved members of the project team and it was focused on scoring the
briefing record (i.e. specifying which statements in the DQI questionnaire were Required,
Desired or Inspired). The second (main workshop) stage involved discussions by
representatives of various stakeholder groups around the key questions in the DQI
questionnaire, and specific issues brought forward from the pre-workshop stage. The
intention was to modify the briefing record developed in the pre-workshop stage following
discussions in the main workshop, but this proved not to be necessary. The first half of the
main workshop focused on assessing existing fire stations and included a tour of the [Project
A] station (the venue for the workshop) (A formal assessment (as suggested in the DQI
guide) was not conducted, due to time constraints, but the key questions in the DQI
questionnaire were used to assess existing facilities). The second half focused on defining
aspirations for the new fire stations and life skills centre. The categories of stakeholders and
a analysis of the feedback questionnaire, are provided in Tables 4 and 5, respectively.
Table 4: Stakeholders represented at DQI workshop (Project A)
Type
Number

Local Residents

Fire-fighters

Other fire service staff

Project staff

Fire service union

Total

18

The briefing record developed from the workshop showed that 59.6% (59) of the statements
were considered to be required; 29.3% (29) were desired, and 11.1% (11) of the statements
in the questionnaire would be inspired for the project. With respect to the statements within
each section, 66.7% of Functionality statements were considered to be required; 76.3% of
statements under Build Quality were considered to be required; and 35.3% of Impact
statements were considered to be required. The key measures that would define the
success of the project included the following:

The need for community fire stations that are welcoming to their respective communities;

53

Need for sufficient, fit-for-purpose spaces that are well planned and efficiently arranged,
and fully dictated by the operations and activities of a community fire service
Buildings that complement and are sympathetic to their immediate surroundings
Need for robust (fire-fighter proof) buildings that incorporate sustainable green solutions,
future proof to prevent/minimise further development but adaptable to changing needs.

Table 5: Analysis of Feedback Questionnaire (Project A)


Ratings

Appropriateness of DQI Tool

Format of DQI Session

Quality of Facilitation

Excellent

11.1%

5.9%

11.1%

Very Good

10

55.6%

11

64.7%

11

61.1%

Satisfactory

33.3%

29.4%

27.8%

18

100%

17

100%

18

100%

Unsatisfactory
Poor
TOTAL
Specific
Comments

Perhaps would have been useful


for a short introduction of sites
being considered
Facilitated some interesting debate.
Seemed to get everybody on board
Not sure the exercise will produce
the best results
Enabled many views and points to
be made
It was a useful way to identify
important needs
A large number of varying views to
be considered
Briefing questionnaire provided a
good basis to discuss any project to
build
Questionnaire good. Powerpoint
slides confused some due to
terminology

Some sections after lunch


would be better if shorter
more punchy (loosing
concentration)
Very unusual mix of
participants who arrived
[and] left throughout the
workshop
Not always clear about the
point of the discussions
all ideas were important to
the people who put them
forward. Difficult to support
vision from functionality
Good variety of
representation
Works well but external
stakeholders can find it
difficult to engage in full
process

Session had views from


residents that I found
useful
Ideal to see operation and
layout of fire station.
Lecture room not ideal for
event due to road noise,
heat, lack of ventilation
Not completely aware of
the sensitivities of the
location decisions
Went over the same
priorities in the morning
and afternoon. I thought it
unfair that priorities were
recorded whilst most fire
fighters were out on a
shout
DQI presentation was
rushed

Focus on key personal issues


Any other
(general)
Comments

After speaking to residents from [Site X], it would be interesting to hear issues from other
residents on their thoughts on the station moving
Important to continue process & involvement
Very useful to hear and understand other stakeholders issues. I look forward to end result
Very helpful I think hopefully!!
Excellent refreshments. Friendly atmosphere.
Glad to be involved keep consultation going!
Group discussion (6) very constructive, prior to this was probably more for other parties than
myself
I hope all the opinions expressed will be considered for the next stage of this process
Good to listen to individual perspectives

54

5.2.

Project B: DQI Mid-Design Workshop

The objective of the workshop was to assess the design for [Project B], against the
aspirations for the project that were established at a previous Briefing Workshop (held in
February 2011). The workshop started with a brief overview of DQIfS (DQI for Schools), a
review of the key outputs from the Briefing Workshop, and an explanation on how the
assessment questionnaire was to be completed. This was followed by a presentation on the
design for the School with opportunities for questions from participants. After the
presentation, participants completed the assessment questionnaire and then discussed
positive and negative aspects of the design. The categories of stakeholders present are
presented in Table 6.
Table 6: Stakeholders represented in DQI workshop (Project B)
Type of
Stakeholder

Number

Direct Users
Pupils
7

Teaching
staff
3

Non-Users

Other staff (incl.


Head Teacher)
5

Client
1

Total

Governors

Design/ Project
Team

22

The Briefing Record used as the basis for the assessment had been developed by a crosssection of (and is an aggregation of the views of) stakeholders. Given the number of
questions on the DQIfS questionnaire (113), the seven (7) pupils (Table 6) who were present
were asked to complete a selection of questions from the questionnaire (i.e. the key
questions in the questionnaire and those statements that were prioritised as inspired in the
Briefing Workshop). A Dont Know response (a valid response) was put for all questions
not answered to ensure that each pupil had enough responses for their scores to be
included in the overall results; this did not affect the overall result.
A key question that provided the focus for this workshop was: to what extent have
aspirations for the project been addressed in the design? The assessment scores
showed that there was a very positive evaluation of the design. The key priorities set out at
the Briefing Workshop focused mainly: space, wood (materials), character and history
(statements in the DQIfS questionnaire that were tagged as inspired also focused on space
and impact issues; some build quality statements were also tagged as inspired ). Space
and build quality aspects were given high priorities during this workshop but impact
aspects (e.g. form and materials and character and innovation) were considered to of low
priority (relatively). There was therefore consistency between the priorities set at the Briefing
and Design workshop for space and build quality aspects, but an apparent inconsistency in
the priority of the impact aspects of the design. The inconsistency might be due to the fact
that impact issues (e.g. character, wood) were not the real priorities of all participants.
However, given the positive scores and overwhelming support for all aspects of the design, it
was concluded then that the design for [Project B] that was presented during the workshop,
closely matched the aspirations for the project, especially in those aspects (e.g. spaces) that
were of priority to the majority of users. A summary of responses from the feedback
questionnaire is provided in Table 7.

55

Table 7: Analysis of Feedback Questionnaires (Project B)


Ratings

Appropriateness of DQI Tool

Format of DQI Session

Quality of Facilitation

Excellent

13.6%

9%

27.3%

Very Good

13

59.1%

18

82%

12

54.5%

Satisfactory

27.3%

4.5%

18.2%

4.5%

22

100%

22

100%

Unsatisfactory
Poor
TOTAL

22

100%

Specific
Comments

Good discussions

Any other
(general)
Comments

I have enjoyed these sessions as [its] important to share as much as possible of the new
build with the community. Thank you for your work.

Well organised and wellled by [XXXXX]

A very good show


It seems that the officers have taken note of the wishes and concerns of the staff, governors
and children
A very useful, enjoyable and relevant process for all participants involved. Thank you.
A lot to cover in just 2 hours session could benefit by being 2.5-3 hours duration

6. Discussion
Both workshops for Project A and B were successful in meeting the objectives of those
workshops (i.e. developing a briefing record, and assessing the design for a project). In
Project A, all respondents rated as satisfactory (or better) the appropriateness of the DQI
tool (66.7% rated it as very good or excellent), the format of the session (70.6% rated it as
very good or excellent), and the quality of facilitation (72.2% rated it as very good or
excellent). The satisfaction levels are also comparable in Project B, where 21 out the 22
participants who completed the feedback questionnaire rated as satisfactory (or better) the
appropriateness of the DQI tool (72.7% rated this as very good or excellent), the format of
the DQI session (91% rated this as very good or excellent), and the quality of facilitation
(81.8% rated this as very good or excellent); only 1 respondent (a pupil) rated the format of
the DQI session as unsatisfactory. The qualitative comments (Tables 5 and 7) were also
generally very positive, although there were a few negative comments (e.g. lecture room not
ideal, not being clear about discussions/confusing PowerPoint slides Table 5). However,
comments like: briefing questionnaire provided a good basis to discuss any project build;
very useful to hear and understand other stakeholders issues (Table 5); it seems that
the officers have taken note of the wishes and concerns of the staff, governors and children
(Table 7), suggest that participants felt this was a good way to engage stakeholder views.
The evidence from the two cases presented therefore suggests that the DQI tool does
indeed enhance engagement with stakeholders. However it should be noted that the use of
the DQI tool is not the only stakeholder engagement activity that takes place. There are
several other interactions between the project team and stakeholders, although this tends to
be organised with individual stakeholder groups. The DQI thus provides an avenue for
engagement with a cross-section of stakeholders. Also, the success of a DQI workshop

56

largely depends on the skills of the facilitator and the willingness (and ability) of the DQI
Leader to involve as wide a cross-section of stakeholders as possible (i.e. to adopt the
normative perspective or ethics of care approach described by Amaeshi, 2010 and Smyth
2008, respectively). One of the comments in Table 5 (I thought it was unfair that priorities
were recorded whilst most fire fighters were out on a shout) referred to a point in the
workshop when a number of fire-fighters who were on call, had to leave the workshop to
respond to an emergency. The DQI Leader was unable to get station managers to send only
participants who were off duty. It needs to be pointed also that the DQI process doesnt
involve the identification and mapping of stakeholders (Manowong and Ogunlana, 2010),
and therefore does not cover all aspects of stakeholder management.

7. Conclusion
This paper has explored the role of the Design Quality Indicator (DQI) tool in the
management of stakeholder requirements in construction projects. The outputs and
feedback comments from two cases (DQI workshops for specific projects) were used to
explore the potential of the tool in stakeholder requirements management. It is observed that
while the DQI does not cover every aspect of stakeholder management, it thus provide a
good avenue for aggregating the views of stakeholders around the crucial issue of building
design quality, and in providing a robust baseline (briefing record) for subsequent
assessment of the design and building. The successful use of the tool however, appears to
depend on the quality of facilitation and the willingness of project leaders to genuinely
engage with stakeholders. The genuineness of engagement applies to all approaches to
stakeholder management, and is not unique to the DQI. A final point to note is that the
usefulness of the DQI (as presented from the cases above) was not assessed against other
approaches; as the aim was not to compare the DQI against other methods. Further
research is clearly required to establish this. The paper also did not address the issue of final
design/project quality outcomes (as it was focused on stakeholder engagement); further
research is therefore required to determine the measurable benefits on the use of DQI, and
the contribution of stakeholder engagement in enhancing building design quality. The DQI
however, thus have a role in the management of stakeholder requirements and expectations
on construction projects.

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9. Leung, M. and Olomolaiye, P (2010), Risk and construction stakeholder management,
in in Chinyio, E. and Olomolaiye, P. (eds.), Construction Stakeholder Management,
Oxford, Wiley-Blackwell, pp. 75-98.
10. Manowong, E. and Ogunlana, S. (2010), Strategies and tactics for managing
construction stakeholders, in in Chinyio, E. and Olomolaiye, P. (eds.), Construction
Stakeholder Management, Oxford, Wiley-Blackwell, pp. 121-137.
11. Newcombe, R. (2003); From client to project stakeholders: a stakeholder mapping
approach, Construction Management and Economics, 29(5): 433-434.
12. Olander, S. (2007), Stakeholder impact analysis in construction project management,
Construction Management and Economics, 25(3): 277-287.
13. Odgers, J. and Samuel, F. (2010) Designing in quality, in Dutoit, A., Odgers, J. and
Sharr, A. (eds), Quality Out of Control: Standards for Measuring Architecture, Abingdon,
Routledge, 41-54.
14. Smyth, H. (2008), The credibility gap in stakeholder management: ethics and evidence
of relationship management, Construction Management and Economics, 26, 633-643.
15. Van Gunsteren, L. A. (2011), Stakeholder-oriented Project Management Tools and
Concepts, IOS Press, Amsterdam
16. Whyte, J. K. and Gann, D. M. (2003), Design quality indicators: work in progress,
Building Research and Information, 31(5): 387-398.

58

Comparing Safety in Design Approaches and Tools


in the US, UK, and Australia
Kihong Ku1
Abstract
Excepting Europe and Australia that have enacted laws to increase the level of involvement
of designers in the Prevention through Design process, contractors in many parts of the
world are often found to be the sole implementers of construction hazard prevention. In
depth analysis of literature related to occupational safety hazards indicates that addressing
worker safety during design is a valuable contributor to the reduction of hazard rate of
workers found in the construction industry (Gambatese et al. 2005). This research aims to
determine tools and processes architects and designers are currently utilizing in conjunction
with construction experts to address construction worker safety during design. The focus of
this research is to determine the influence of tools and emerging technologies such as BIM
and to harness collaboration between professionals in the field to aid designers in
considering worker safety on construction sites. Based on the findings from the present
stage of the research, it can be concluded that BIM can be a valuable tool for
implementation of construction worker safety by designers. Along with other strengths of
BIM, it also incorporates multiple facets of the construction industry. However, in countries
such as the United States, where the laws have not yet been enacted for designers to
practice construction worker safety, it is recommended that the concerns of professional and
legal liability of designers and knowledge barriers should be addressed before considering
utilization of BIM.
Keywords: PtD, Design, Safety, BIM, Hazard

1. Introduction
Funded by the National Institute of Occupational Safety and Health, as part of an industry
wide Prevention through Design initiative, this research aims to determine tools and
processes that can harness an earlier application of construction hazard, Prevention through
Design. Occupational fatalities in the construction industry account for 23% of all work
related fatalities, while they only employ 7% of the workforce (Behm 2008). Earlier studies
on Prevention through Design (PtD) indicate that the design aspects of a project can
significantly impact the rate and extent of construction site accidents. One such study aimed
at analysing policies regarding accident prevention on construction sites, particularly the
efficacy of one of the first directives that incorporated Prevention through Design. The study

Assistant Professor; Architecture Program; Philadelphia University; 4201 Henry Ave, Philadelphia,
PA 19102, USA; kuk@philau.edu

59

found that accident and incident rates had declined by at least 10 percent after the directive
went into effect in ten countries in the European Union (Aires et al. 2009).
However, barriers in the industry are preventing widespread and thorough implementation of
construction hazard prevention through design. These barriers include but are not limited to
perceived legal and professional liability, lack of knowledge of the construction industry, lack
of motivation for designers to take construction hazards into consideration, and lack of
facilitation of collaboration between designers and constructors earlier in a project
(Gangolells et al. 2010). In this article, we discuss findings from a study on how tools can
overcome some of these barriers, and help designers in practicing construction hazard
prevention in the design phase.

2. Research Objectives and Methods


The motivation for conducting research in this area lies in determining existing tools used by
designers to address construction worker safety, and the effectiveness of these tools in
harnessing collaborative insights of other professionals in the field for a comprehensive
application of construction hazard prevention through design.
The research also
simultaneously attempts to analyse the existing barriers, if any that exist for designers in
applying design for safety and, to explore if any tools and methodologies can mitigate the
impact of these barriers.
The tools and methodologies that are under consideration in the research are Integrated
Project Delivery (IPD), Hazard Identification Tools, Risk Assessment Tools, Procedural
Guidelines, Visualization Tools, BIM, Semi-Automated Decision Support Systems. It must be
brought to attention that the research found discrepancies in how literature defined these
tools and methodologies, and how individuals practiced them. Thus, what can be
summarized from the interviews is a more general overview of tools and methodologies that
firms are utilizing for applications of Construction Hazard Prevention through Design. This
research has been conducted in three phases to cover aspects of design for safety.
The first phase consists of expert panel interviews in order to gain general insight into the
existing tools and methodologies, and their application in design for construction worker
safety. Experts interviewed are determined through their academic publications, organization
affiliations, and the innovative nature of the firm they work for. The first phase is not a
comprehensive phase as its objective is to set the stage for the next two phases of in depth
research.
The second phase incorporates a comprehensive industry wide survey to gain a greater
sample size, and gather key metrics that indicate observable patterns in ways different
professionals are utilizing Prevention through Design tools. Subsequently the survey aims to
identify the most effective and accepted tools and the strength, weakness, and opportunity
for further development of tools. The third phase focuses on assimilation and analysis of
data collected in phase two; to identify tools being utilized and the method of implementation
of tools in the applications of prevention through design in projects. Additionally, the third
stage of the research is an in depth case study that aims at receiving more specific insights

60

of what tools are being utilized and how they are implemented in the applications of
Prevention through Design in practice. In this paper, the findings from the first phase expert
panel interviews are discussed.

2.1 Expert Panel Participants


The expert panel interviews in the first phase consist of interviewing thirteen professionals in
the design and construction industry in three countries: USA, UK, and Australia. The UK and
Australia have been selected as comparison points with the United States, because of
existing established regulations that allocate responsibility on designers for addressing
worker safety. In the UK, CDM regulations have been allocating responsibilities onto the
designer for addressing worker safety in the construction industry since as early as 1994
(Mackenzie et al 2000). Similarly, Australia has also put into effect a requirement for
designers to address worker safety, for more than a decade (Bluff 2003). Due to the preestablished nature of these regulations, firms located in both countries have also had a
considerable amount of time to refine their utilization and knowledge of designing for
construction worker safety. However, in the United States regulatory requirements are still
undeveloped and at a nascent stage.
Therefore, a comparative study of regulatory
environments for firms in Australia and UK to the United States served as a good indicator of
the impact of applicability of tools in predicting barriers to implementation of design for
safety.
Professionals interviewed have been selected from diversified backgrounds and belong to
work in varying fields of specialization within the industry. The selection has been made to
facilitate understanding of the correlation between professional backgrounds and the tools
being utilized. Garnering multiple viewpoints on tool utilization aids in speculating as to how
these tools can be used to harness collaboration of different backgrounds on design for
safety. Table 1 categorizes the participants by company type and region. The firms being
represented by the interviewees specialize in Architecture, Health and Safety Management,
Construction Management, Design-Build, Faade Consulting, Structural Engineering, and
Architectural Engineering. Of the thirteen professionals that have been interviewed, five of
them were architects, one of whom with a background in health and safety working in a UK
architecture firm, one an architect who is a US faade consultant, two US architecture firms,
one who is directing the design division of a US design-build company, and one Australian
architect.
Table 1: Expert Interview Participants
Region
Company
Type

USA

UK

Australia

Total

Architecture

Engineering/Consulting

Construction

Safety Coordinator
Total

3
2

13

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Safety coordinators were from the UK and Australia with backgrounds in health and safety
and civil engineering. Additionally, Construction professionals from one US mechanical
contractor and one US general contractor participated.
The information collected from the professionals interviewed has laid focus on their
academic background and specialization, nature of their work, utilization of BIM and number
of years of experience, strategies, and tools. The interviews also asked about knowledge of
Prevention through Design(PtD), Design for Safety(DfS), buildability and/or constructability
for worker safety, maintainability for worker safety, standards/regulations, company
standards (laws, implementations), etc., and other tools and methodologies the firms may
currently be using but not defined by literature yet.

3. Expert Interview Results


The primary objective of the expert interviews was to understand how designers incorporate
construction workers safety into the design process and what tools they use. Considering
the different regulatory and industry context of US, UK and Australian practitioners, specific
questions were asked.
1. How do practitioners consider worker safety in design in comparison to the design
process identified in literature?
2. How do designers approaches differ in the UK and Australia from the US?
3. What tools are mostly used by designers to prevent construction hazards?

3.1 Tools in Literature


Hazard analyses and risk assessments are central to safety in design approaches (Manuele,
2008a; 2008b). However, hazard recognition is quite difficult given the complexity and size of
the building systems designed (Gambatese, 2008). Manuele (2005) indicates that
construction planners typically rely on professional and personal experience and group
assessments to determine risk levels. While PtD tools have the potential to support and
improve designers knowledge and skills of hazard recognition and facilitate communication
between the designer and constructor, assisting designers to overcome their lack of
expertise in construction safety and health issues, a limited number of tools are available (Ku
and Mills, 2010). There are checklists such as the Design for Construction Safety ToolBox
(Gambatese et al., 1997), risk assessment forms in paper or software format (Duffy, 2004;
Gambatese, 2004; Hecker et al., 2004) which are used by experienced professionals who
qualitatively evaluate the risks of specific hazards and to rank the level of risk.
In order to facilitate hazard identification and risk assessment, a number of researchers have
developed prototypes that automate hazard analyses and risk assessment. ToolSHeD
(Cooke et al., 2008) captures expert reasoning through argument trees to assess the risk of
falling from height during roof maintenance work. The prototype provides interactive risk
assessment via an online interface that generates the risk level of specific activities or

62

materials. Nussbaum et al. (2009) developed a decision support system of residential


panelised walls to identify high levels of musculoskeletal disorders risk. The tool is based on
breakdown tasks and laboratory based simulations and modelling to mathematically and
computationally calculate ergonomic risks, and supports design optimization of panels.
Sacks et al. (2009) developed algorithms to estimate the likelihood of exposure of
construction workers to loss-of-control events. Their prototype software was used to assess
risk levels of spatial and temporal exposure events of falling objects onto workers below.
Zhang et al. (2012) proposed to incorporate automated safety rule checking into BIM for falls
hazards. Table 2 classifies research areas by their application algorithms and interfaces.
The majority of tools focus on construction planning while a few extend their approach to
design for safety. With the continuing adoption of Building Information Models (BIM) in
construction, there is an increasing interest in utilizing 3D models and visualization for
hazard analysis.
Table 2: Automated Hazard Analysis Tools
Algorithm
Interface

Construction Planning

Hazard identification

Hazard
Identification/Risk

Text based interface


3D model interface

PtD Safety Design


Optimization

Cooke et al. (2008)


Zhang et al. (2012)

Sacks et al. (2009)

Nussbaum et al.
(2009)

In addition to the above mentioned tools, others recommend a structured review process
(Gambatese, 2004) such as the Australian CHAIR tool which provides detailed and
systematic examination of the construction, maintenance, repair, and demolition safety
issues. Under the UK CDM regulations, the Safety-in-Design knowledge benchmark (SiD)
plan is promoting a standard for Safety in Design for designers.
While literature shows various approaches and tools to address construction safety, there is
a lack of understanding of what tools design and construction professionals use in practice.
The following sections describe the findings from the expert panel interviews.

3.2 Design for Safety (DfS)


Designers who were interviewed from the UK and Australia seemed more receptive and
comfortable with the applications of construction worker safety. This was due to the fact that
they were already working within the norms of established regulations that required
designers to be involved in designing for construction worker safety. When the designers
from the US were interviewed, we observed a pattern was found that indicated a lack of
comfort on applications of designing for construction worker safety. In some cases,
designers explicitly did not find any reason to practice construction worker safety, as they felt
it was the contractors responsibility. However, designers practicing in the US were
knowledgeable on primarily operational and maintenance aspects of worker safety related to
OSHA requirements. Due to the established regulatory requirements and the generally rigid

63

nature of role designations in the industry, designers in the United States felt obligated to
address maintenance/operation worker safety. Other barriers to the applications of
construction worker safety were legal liability, lack of comfort/knowledge of the construction
trade, and lack of interaction with the constructor under specific project delivery methods.
3.2.1 Liability
Considering the liability concerns of design professionals, the expert panel was asked about
how they addressed workers safety. A UK architect of a full service high profile international
firm mentioned that they develop method statements for cleaning, maintenance, and
replacement operations which may involve hazardous conditions such as window cleaning at
heights. This architects firm designs a large number of non-standard buildings that involve
complex geometries. Regarding construction worker safety and health concerns, the firm
has a set of design guides addressing constructability and buildability that incorporate
general safety concerns such as masonry unit sizes to reduce musculoskeletal injuries or
use of prefabricated systems to reduce falls hazards. Similarly, an Australian architect of a
small size firm who identified his focus on design for safety, explained his primary
concentration on maintenance and operation phases rather than construction. But he also
mentioned that prefabrication was a main consideration for buildability.
Interestingly, while the UK architect and Australian architects were receptive to practicing
design-for-safety, their main area that they felt responsible for was on maintenance and
operation phases similar to US architects.
The majority of the expert panellists mentioned that they would involve facility management
personnel of the client, consultants, and constructors to address maintenance and operation
safety issues. One architect of a US design-build company where the design team has direct
internal relations with the construction team in addressing construction worker, mentioned
familiarity with safety guidelines and risk assessment tools.
The research also indicates that incentives for designers to consider construction worker
safety are very few; some of these incentives include contractual requirements on behalf of
the client in highly specialized facilities.

3.3 Codes, Checklists, Company Manuals


To find out about the design for safety tools mostly used by designers, questions were asked
about hazard identification, risk assessment, company manuals. The majority of
interviewees, regardless of profession or country of origin agreed that written assessments
and checklists were tools that were limiting and often ineffective. Designers believed that
written assessments were not conducive to their design methodology, and suggested usage
of more qualitative tools for risk assessment and hazard identification. The success of
utilization of risk assessments and hazard identification by designers relied heavily on
applying open ended and less prescriptive tools to prevent any constraint on the designers
objectives.

64

3.3.1 Hazard identification


Interviewees in construction and engineering firms identified themselves more with
checklists and risk assessment matrices. A founder of a UK structural engineering known for
their innovative projects mentioned the applicability of checklists for younger and
inexperienced engineers to ensure that all integral aspects to a project had been addressed.
Additionally, interviewees suggested a strong reliance on the expertise and knowledge base
of key stakeholders in the project, or expert guidance from consultants outside of the project,
instead of following set procedures or guidelines.
3.3.2 Risk assessment
In response to the use of risk assessment tools, an Australian safety professional detailed
that their firm was utilizing process mapping rather than risk assessment matrices to identify
health and safety drivers. Another designer mentioned that their UK based firm utilized a
less prescriptive methodology in addressing risk assessments. The interviewee described
the risks being segregated into low, medium, and high risk categories, and diagrams and
drawings were attached to each category to make it user friendly for designers.
3.3.3 Company manuals
The expert panellists also described internal company databases that were compiled and
updated based on changing (1) regulatory requirements and (2) lessons learned from
projects. The majority of the US designers did not have formal databases but referred to
OSHA standards. A US general contractor explained their use of a searchable database for
lessons learned and OSHA requirements. The UK architect and UK CDM coordinator
described the use of internal knowledge management platforms and company standards that
integrated lessons learned and best practices. An innovative design firm in the UK also
mentioned their internal program that was responsive to designer specifications.

3.4 Quality Control


The panellists were asked about utilization of structured design reviews during various
phases of the project. The design review process is a quality control measure and serves as
a method of lessening the perceived liability by designers. Incorporating the insights of
experts and key stakeholders not only aids in ensuring quality control, but also helps the
designer to feel more confident about applying design for safety principles.
3.4.1 Design review
All US, UK, and Australian designers described the use of a review process that
incorporated constructability reviews and/or code reviews. One US architect who works for a
general contractor mentioned the use of constructability reviews (30%, 60%, 90%
completion) through work groups who would have experience with incident reviews. The
three US architects explained that internal senior technical reviewers or consultants would
review design documents. One of them required facility personnel to be a part of the design

65

and construction review process, to ensure that aspects of the building process were
consistently addressed. However, construction workers safety was not part of such reviews.
The UK architect explained the participation of specialized groups and peer reviews that
would involve people with construction backgrounds and design backgrounds to ensure the
adequacy of the deliverables. The Australian architect mentioned engaging all related
stakeholders through assessment workshops. Another prominent structural engineering firm
utilized a designated formal review team to inspect adequacy of project deliverables.
An Australian Safety Professional mentioned the utilization of CHAIR, Construction Hazard
Assessment Implication Review, which facilitate collaboration between various stakeholders
in order to address construction, maintenance, and demolition safety risks. He explained this
as a three stage process of (1) identifying issues and concerns, (2) risk assessment, and (3)
identifying residual risks, which would be facilitated through workshops with stakeholders
including the designers. As a CDM coordinator of a UK firm explained, they would coordinate
safety in the same manner whether they would work with internal engineers or external team
members.
The majority of architecture and engineering firms in the US were unfamiliar with a similar
formalized process that addresses worker safety as there no such regulation in the US. One
variation of a procedural guideline was a project delivery manual in a US Architecture firm
that was utilized as a quality control method to incorporate the expertise of senior level
technical professionals that participate in determining if construction documents complied
with regulatory codes.

3.5 Building Information Modeling (BIM), Visualization, and Automation


Building Information Modeling Systems that interviewees most commonly mentioned were
Revit, Navisworks, Tekla, and AutoCAD. Synchro LTD for 4D simulation and Solibri for code
checking were also acknowledged. In spite of observed differences in the motivations for
reasons why firms practiced design for safety, the majority of the interviewees provided
similar insights into the strengths of utilizing Building Information Modeling (BIM) in the field.
Interviewees stated that the strengths of BIM lied in physical clash detection, managing
larger and more complex projects, and aid in collaborating with other professionals and
stakeholders on the project. The ability of BIM to manage a large amount of information in a
project, ranging from the project schedule to analysing the constructability of a building made
it a powerful tool in fostering the collaboration of a wide variety of expertise in the industry.
Overall, BIM was seen as a beneficial tool in communicating various aspects of a project,
and design firms emphasized its a value as a visualization tool in communicating all aspects
of a design, and communicating effectively to the constructor, and receive feedback about
their project during design reviews.
The collaboration through BIM tools seemed beneficial to the designer as it lessened the
extent of legal liability through enhanced collaboration. As a result, the designer may be
better placed to practice design for worker safety. Interviewees mentioned utilizing BIM to
analyse the constructability of a building, as well as operation and maintenance. A US

66

architect of a design-build firm asserted on more than one occasion, that designers would
prefer utilizing BIM to consider worker safety over checklists and other prescriptive tools that
were traditionally used by contractors. One of the main reasons was the belief that checklists
and risk assessments stifled innovation and creativity of designers due to their prescriptive
nature.
The US architect of the design-builder mentioned utilizing BIM to check code requirements in
their respective country. The other US construction company mentioned using BIM to check
if the structure complied with all operational and maintainability requirements by OSHA.
Perceived drawbacks of BIM included difficulty of managing and navigating larger projects,
and the time and resources that tended to be invested into managing a BIM document.
Therefore, in order for the BIM model to be completely successful in utilization for design for
safety, further development of BIM is necessary.
When asked about (semi) automated Decision Support Systems, none of the panellists
suggested using such tools, due to the nascent stage of this tool in research and practice.
The majority of interviewees were not familiar with it. However, interviewees did show an
interest in integrating current company processes into a tool that incorporates other tools
they are utilizing. Additionally, existing usage of internal company databases and manuals
indicated an opportunity to apply databases to automated tools.

4. Conclusions
As part of a three stage research, the expert panel interview conducted with thirteen US, UK,
and Australian professionals on the implementation of construction hazard tools led to
preliminary insights of the different and similar attitudes of designers in the US, UK, and
Australia. Coinciding with the common belief, US designers have a resistance towards the
consideration of construction hazards during design stages because of the lack of in depth
knowledge of construction processes and safety hazards. The US panellists were also not
clear as to how the construction hazards could be incorporated into the design phase of the
project. Fear of legal and professional liability was a major deterrent for them to consider
implementation of these worker hazards. However, while the UK and Australian architects
demonstrated more confidence and familiarity with the notion of construction hazard
prevention, their primary focus of hazard identification and risk assessment related to the
maintenance and operation of buildings rather than construction hazards. This corresponds
to the responsibility of US architects who similarly consider maintenance and operation
worker safety. Hazards during maintenance and operation phases of a building such as
window cleaning, safe access to equipment on roofs, etc., required design considerations by
architects in all three countries.
The extent of identification activities of maintenance and operation hazards by designers
was somewhat different between US, UK, and Australian designers. The UK and Australian
architects explained internal procedures of design guides, assessment workshops, and
structured reviews that address not only code requirements but also lessons learned
throughout their projects. The US designers were concerned more with satisfying code

67

requirements (OSHA) and had not developed or used internal design guides or assessment
workshops but some involved stakeholders beyond the design team if requested by the
client.
Regarding hazard prevention tools for design, all architects indicated that prescriptive
checklists were ineffective and preferred visualisation tools in general. The UK and
Australian architects emphasised that hazard identification also depended mostly on the
experience and knowledge of personnel and was oftentimes assured through design reviews
of senior technical personnel. In contrast, the UK structural engineer found checklists
effective for entry level engineers.
US designers were mostly unaware of hazard identification checklists and risk assessment
forms. UK and Australian architects utilized risk assessment forms to qualitatively rank
low/medium/high risks but mentioned that those forms were rather used for reporting
purposes and the panellists warned that the forms are prone to get challenging and time
consuming on larger projects.
The expert interviews also revealed that the panellists consider BIM an effective
communication and visualization tool. But it is currently not well integrated into processes
and should incorporate more functions that can facilitate and motivate designers in practicing
construction worker safety. Structured review processes do harness collaboration and
ensure quality control of company processes, but are depend on who they can incorporate
into their reviews. By establishing a standard set of procedures for firms to practice and
address some of the shortfalls of BIM, developing a motivational force for designers to
practice construction hazard prevention may be possible.
The expert panel interview results have offered valuable insights of design for safety
practices in US, UK, and Australia. The results are used to guide the second phase of this
research which will gather broader perspectives of US, UK, and Australian practitioners
through an online survey.

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70

Finite Element Deletion and Topology Optimisation


for Building Structural Optimisation
Herm Hofmeyer1, Juan Davila Delgado2
Abstract
Buildings would not exist without a structural design. Although mechanical, electrical, and
computer facilities now often put a much higher burden on the financial costs of a building
than the structural design -related to both engineering and construction costs-, a building
structure is unique in the sense that structural issues cannot be permitted, as they are lifethreatening. Thus a building structure should primarily be safe, but nevertheless also
economical. To help structural engineers with these goals, computer-assisted methods exist
to determine the stress distribution in structural designs (e.g. the finite element method) and
to optimise design components (e.g. topology optimisation). However, research on the
optimisation of (complete) building structures is still relatively rare. In this paper, two
methods for structural design optimisation have been compared for the application to
complete building structural designs. This via a so-called research engine, in which spatial
designs are transformed in structural designs, and vice versa, to investigate preliminary
design processes. The two methods are compared for their effectiveness of optimisation,
which shows that the method topology optimisation is more effective than the method
element deletion, and if structural optimisation is used for exploring a solution space and
evaluating the design process outcomes, this is an important conclusion. Besides, during
topology optimisation a structural design remains stable, whereas element deletion may
render the design unstable. However, when structural optimisation is used to study the
primarily design process (e.g. via the research engine), the qualitative effects of both
methods can be compared, and element deletion is computationally more efficient. Because
even an unstable design will be usable in the research engine, for this case the method of
element deletion is preferred.
Keywords: Building Structural Design, Topology Optimisation, Primarily Design
Process, Finite Element Method, Finite Element Deletion

1. Introduction
Building (structural) engineers are used to the fact that design solutions are a product of a
creative process: Not by working from a single problem towards a single solution, but by a
very complex exploration of problems, requirements, and solutions simultaneously, as

Associate Professor; Department of the Built Environment; Unit Structural Design; P.O. Box 513 /
VRT 9.32, 5600 MB Eindhoven, The Netherlands; h.hofmeyer@tue.nl.
2
Ph.D.-Student; Department of Built Environment; Unit Structural Design; P.O. Box 513 / VRT 9.09,
5600 MB Eindhoven, The Netherlands; j.m.davila.delgado@tue.nl.

71

illustrated by a model and case studies by Maher (2000). The complexity of this type of
design processes has led to three fields of research, related to dedicated computer tools that
support the designer to explore a solution space and evaluate the design process outcomes,
as described below.
The first field of research develops data models, which describe data and their relationships
regarding the design process. Data models have been designed specifically for spatial
design, e.g. by Bjrk (1992) and Borrmann and Rank (2009), and for structural design, e.g.
by Weise et al (2000). For the interaction between spatial and structural design, Sause et al
(1992) present an object-oriented approach to unify structural product and process models.
Making use of the same object-oriented approach, Nguyen et al (1996) developed a concept
for a data model, including a prototype program, for architectural design, structural design,
and code compliance checking. Similar research was carried out by Khemlani et al (1998)
and their most important achievement was the explicit formulation of the "space-structure
dilemma" and a possible solution they proposed was a so-called "split-edge data structure"
concept. Another proposition for a data model including structural and spatial information
can be seen in the work of Matthews et al (1998). Eastman and Jeng (1999) took into
account that the necessary modification of data models during the design process requires a
specific data model set-up. They demonstrated this by a spatial, structural, and physical view
of a building design example. Then Rivard and Fenves (2000) proposed a data model
slightly later that incorporates both an object-oriented data model, and two design
evolutionary capable abstraction levels for multiple views, again illustrated by a spatialstructural example. Mora et al (2006) worked out a very detailed data model, explicitly for
spatial and structural design aspects, which was loosely based on the work of Rivard and
Fenves (2000) mentioned above. This finally led, by the same authors, to an advanced
design system prototype by Mora et al (2008).
The second field of research develops methods for actually generating spatial or structural
design solutions for buildings. For spatial design, space-allocation, shape grammars, e.g
Kotosopoulos (2005), and related methods, e.g. Oxman (1997), have been developed. For
structural design, research has been carried on methods that actually generate a structural
design, e.g. Rafiq and MacLeod (1988), Maher (1985), and Shaw et al (2008). Probably
spanning the largest group of supporting tools within the field, finite element programs
should be mentioned, which allow a detailed analyses of the stress distribution in a structural
design, Zienkiewicz and Taylor (1988). Often using these finite element programs, also an
enormous amount of research exists that optimises an existing structural design
(component) by means of several possible optimisation methods, an overview is given by
Kicinger (2005). It is remarkable that these optimisations methods are often used on twodimensional problems regarding only components of a structural design. Literature in which
three-dimensional problems are presented, incorporating a complete building structural
design, can be found, Rafiq et al (2003), but only occasionally. This is the background for
one of the contributions of this paper: Investigating the use of optimisation methods applied
to complete building structural designs.
Most of the research projects mentioned above assume, explicitly or implicitly, that after the
design of a preliminary spatial design, a preliminary structural design is developed, and this

72

more or less subsequently. This does not correspond to the idea of exploring problems and
solutions simultaneously, with which this section was started. However, a third field or
research exists, that addresses exactly this idea: a strong interaction between disciplines,
e.g. Maher (2000), Haymaker et al (2004). Inspired by this third field of research, a so-called
research engine is under development, which develops and modifies a spatial-structural
design through a number of cycles N, with each cycle numbered from n =1 to N, Hofmeyer
(2007), figure 1. More specifically, a cycle consists of four steps: (1) a transformation from a
spatial design (2n-1 in figure 1 on the right) to a structural design (2n-1); (2) the optimisation
of the structural design (2n-1), which results in a new structural design (2n); and step (3) and
(4), which interpret the new structural design as a spatial design (2n) and modify this spatial
design such that it complies with the design requirements again. Hereafter, the cycle may be
repeated, with integer n increased by 1.

Figure 1: Research engine, symbolic on the left, schematic on the right


Several useful applications and interpretations exist for the research engine, Hofmeyer and
Kerstens (2008), and in this paper it is used as a framework to study two possible methods
for the structural optimisation of complete building structural designs. The first optimisation
method, (finite) element deletion, has been specially developed for the research engine and
its non-complex set-up fits the primarily design character of the engine. The second method,
topology optimisation, is a frequently used, formal and more complex method, mostly used
for two-dimensional problems related to structural design components, Bendse (1995).
After this introduction, in section 2 the element deletion method is explained, but this is only
possible with a brief presentation of the research engine. Then, in section 3 the principles of
topology optimisation are elaborated. Section 4 presents case studies using both
optimisation methods; thereafter conclusions can be presented in section 5.

2. Element deletion
As the method of element deletion has been developed with the research engine in mind,
and the research engine is used as framework in this paper, first the research engine will be
presented here, although very briefly and only for the relevant parts as shown in figure 2.
References will be given to allow for a more elaborated description.

73

The research engine is initiated for its first cycle (n = 1) with the input of a spatial design 2n1, which consists of rectangular spaces. Zoning, the first process in figure 2, then searches
for all possible zones, which are rectangular sets that consist of one or more spaces. Then
all possible solutions for constructing the spatial design out of these zones are found, see for
more details (also on a possible combinatorial explosion) Hofmeyer and Bakker (2008).
Formulated differently, the spatial design is redefined from consisting of spaces to consisting
of (larger) zones, which is believed to resemble the working method of a structural engineer:
Searching first for geometrical information (gridlines, openings, etc) on the larger scale of a
structural design.

Figure 2: Research engine, process model of first two transformation steps


Hereafter, the second process in figure 2 applies spatial-structural transformation rules to the
zoned spatial design. This implies that for every zone, depending on its geometrical
properties, some structural elements -like shear walls, slabs, and columns- are added,
Hofmeyer and Bakker (2008). For the resulting structural design two issues exist. First of all,
the design is possibly not conformal, which means that once it is meshed using the finite
element method, it may result in finite element nodes which are not connected, figure 3.

Figure 3: Structural design should be split to assure a correct finite element model

74

Therefore, the third process in figure 2, splitting, makes the structural design conformal,
Hofmeyer et al, 2011. Secondly, due to the fact that structural elements are simply added to
the zoned spatial design, without any further considerations, the resulting structural design is
not necessarily stable. This is solved by using a dedicated stabilisation process, shown in
figure 2 as the fourth process. During this stabilisation process, carried out by means of a
finite element method, structural elements are added to the structural design until the
structural stiffness matrix (used in the finite element method) is regular, Smulders and
Hofmeyer (2012). Besides, this process also adds constraints (like boundary conditions
simulating the foundation) and loads, after which structural design 2n-1 has been developed,
as shown on the top right in figure 2.
The first step of the element deletion method is a simulation by the finite element method, as
shown by process "FEM" in figure 2. The finite element method is based on approximating
the complex displacement field over a continuous structure (e.g. a shear wall or slab) by a
simple displacement field for a small part of the structure, an element. Relating all element
displacement fields yields a system of linear equations, which once solved, results in an
approximation of the displacements, stresses, strains, and strain energies in the structural
design. When specifically the total strain energies of the elements are observed, naturally
the elements will differ in their energy values. Given this fact, if a structural design should be
made more efficient, it is then suggested to remove elements which show very low energy.
This because if a structural element has low total strain energy, it either bears low forces (a
quadratic relation exists between forces and energy) or shows high deformations (with a
linear relation) and does not contribute significantly to the distribution of the applied loads.
For the method of element deletion, three aspects should be discussed. In the first place, for
every optimisation method, it is the load case that almost completely determines the
outcome of the optimised structural design. Because a structural design should not be
optimised for e.g. a single wind direction -making it completely non-optimised in another
direction-, several load cases have to be used. For each load case the finite element model
is applied, where after for each element, the maximum total strain energy value among the
load cases is selected for further processing. The load cases used are shown in figure 4 on
the left. On the right, the load cases for topology optimisation are shown, to be presented in
section 3. Further details on the selection of the specific load cases can be found in
Hofmeyer and Davila Delgado (2012).
The second aspect concerning element deletion is the question how the elements to be
deleted should be selected. For this, the K-means algorithm or Lloyds algorithm is helpful,
MacQueen (1967). This method sorts the finite elements in a number of groups specified by
the user. Each finite element is put in the group for which the mean value is closest to the
finite element total strain value. As such, the method generates groups with elements with
similar energy values. In the currently used research engine, it has been found that grouping
the finite elements in eight clusters yields workable results, however, future work should
include a rigorous parameter study on the number of clusters to be used. Then, the user can
decide how many clusters are to be removed, and hereafter a new optimised structural
design 2n has been developed, as shown in figure 2 on the bottom right.

75

Finally, the third aspect is that a structural design 2n, as developed by the method of
element deletion, is possibly not stable anymore. This is the case because finite elements
have been deleted on the basis of their total strain energy level only, without taking into
account any other argument, including that of stability of the structural design. It should be
noted that for structural optimisation as a solely process this is indeed a problem. However,
in the research engine structural design 2n is also a precursor for a new spatial design 2n,
and this new spatial design can be developed from an unstable system without any problem.
As such, for research engine applications, this latter drawback of element deletion does not
exist.

=
Figure 4: Load cases for element deletion on the left, for topology optimisation (in
section 3) on the right

3. Topology optimisation
Topology optimisation is a more formal method, and due to its iterative character,
presumably more effective than element deletion. For the topology optimisation method as
presented in this paper, a method has been used exactly as described by Sigmund (2001).
However, for completeness, a brief explanation will be given in this paper, with inevitably
repeating some formulae. Just like for element deletion, also topology optimisation starts
with a finite element simulation as shown in figure 2 on the right. Because topology
optimisation is best explained using a formal notation, the finite element simulation will be
formulated as:

KU = F Sigmund (2001)

(1)

K is the structural stiffness matrix, U the displacement vector, and F is the force vector.
Different from a normal finite element simulation, for topology optimisation K is assembled
from element stiffness matrices ke that are each multiplied with a so-called relative density.
This relative density is a scalar xe that can have a value between 0 to 1, and this makes it
possible to lower or higher an element's stiffness. To enable calculating the sensitivity of an

76

element to the objective to optimise, the relative density is powered by p, which is a value
equal for all elements:

e {k e xep k e }

(2)

Topology optimisation is started with equation (1), with the same xe for each element (for
example 0.5). Hereafter, the objective to optimise is calculated, in this case the total strain
energy:
N

c (x ) = UT KU = xep u Te k e u e

Sigmund (2001)

(3)

e =1

Assuming elements of the same size (volume), better xe-values (leading to a lower objective)
can be found as described by Bendse (1995):

xenew

c (x ) xe
max ( xmin , xe m ) if xe
max ( xmin , xe m )

c( x ) xe
c(x ) xe

= xe
if max (xmin , xe m ) < xe
min(1, xe + m ) [35]

c (x ) xe

min(1, xe + m ) if min(1, xe + m ) xe

(4)

with m a constant with the aim to limit the maximum shift of the xe -vector x and:

c( x ) xe = pxep 1uTe k e u e Sigmund (2001)

(5)

Using a bi-section method, the factor in equation (4) can be calculated such that the
volume of the optimised structural design (the volume being a function of the new xe vector
x) is the same as during the initial run (with the initial xe values equal to 0.5 in this case).
For certain reasons, as explained in Sigmund and Petersson (1998), it is useful to use a
mesh-independency filter. This filter could be seen as partly averaging the element
sensitivities over a certain domain (defined by value rmin). This filter modifies the values of
equation (5) as follows:

^
c( x )
=
xe

1
N

xe H f

H
f =1

xf

c (x )
Sigmund (2001)
x f

(6)

f =1

with

H f = rmin dist (e, f ),

{ f N | dist (e, f ) rmin },

e = 1,..., N Sigmund (2001)

(7)

77

dist(e,f) is equivalent to the distance between the centre points of (finite) element e and f,
and rmin, being a user input, is the maximum distance between the element and other
elements that should be considered.
Using the updated sensitivities of equation (6), a new prediction for the xe-values can be
made, where after the topology optimisation process is repeated until the change in xevalues is sufficient small related to a user inputted threshold. This cycle is also shown in
figure 2. And like the case for element deletion, also here a structural design 2n results.

4. Case studies
With the two optimisation methods presented above, case studies have been carried out, for
which the results will be presented in this section. All case studies have been made fully
automatically using the research engine as follows. The initial spatial design 2n-1 has a
ground plan as shown in figure 4, with 3 3 spaces of each 3 3 meter, and a building
height of 3, 21, or 60 meters, corresponding to 1, 7, or 20 levels with a level height equal to 3
m. The first process in figure 2, zoning, is instructed to develop a zoned spatial design by
transforming each single space in a single zone. This seems to be the least advanced or
interesting method of zoning, but to compare two methods of structural optimising, in this
way a regular and fine grid of structural elements can be produced, and this in turn will
enable the optimisation to reduce elements on the basis of a regular and fine grid as well.
Therefore, spatial-structural transformations are used that add to each zone 4 shear walls
and 1 slab on top of these shear walls. Due to the specific spatial design 2n-1, and the very
specific settings for the zoning and spatial-structural transformations, the third process,
splitting, is not necessary.
The fourth process, "Stabilisation, loading + constraints" is carried out completely, although
stabilisation may not necessary due to the same reasons mentioned above: A regular and
fine grid of shear walls and slabs is used, which makes the structural design stable naturally.
Loading is applied as shown in figure 4. For element deletion, the five load cases are applied
on the left. For topology optimisation, the load cases are applied as shown on the right, as
explained in more detail by Hofmeyer and Davila Delgado (2013). For both methods,
constraints are applied by fixing the lowest points of the structural design in all three
independent directions x, y, and z, thus simulating a foundation.
Hereafter, one of the optimisation methods is applied as presented in section 2 or 3. In the
finite element simulations, each structural element (i.e. a shear wall or slab) is meshed by 6
x 6 flat shell elements, which have a formulation as described in Batoz and Tahar (1982).
After assembling the structural stiffness matrix, the system of equations is solved by
BiCGSTAB, Eigen (2012).
Table 1 presents the case studies by their indentifying number and C value, which
represents the number of finite element clusters (out of 8) that are removed. Figure 5 shows
a typical run, in this case simulation A11, with from left to right in the top row: (a) spatial
design 2n-1, (b) structural topology, and (c) structural design 2n-1 with clustered finite
elements; every cluster is shown with a different grey. In the bottom row, from left to right: (d)

78

optimised structural design 2n, (e) spatial design 2n-1 with the spaces to be removed
coloured slightly more dark, and (f) spatial design 2n. The last two spatial designs are only
shown here because they are produced automatically after structural design 2n-1, however,
they will not be discussed in this paper.
Table 1. Case study identifier (left), number of element clusters removed (middle), and
effectiveness of optimisation eo (right)
Topology optimisation

Element deletion

LC1 Gravity load

A1

C3

2.27

A2

C3

1.45

Low-rise

LC2 Wind load

A3

C2

2.27

A4

C1

1.88

(1 level)

LC1,2,3,4,5 Combined loads

A5

C3

2.00

A6

C3

1.45

LC1 Gravity load

A7

C2

3.03

A8

C2

1.23

Mid-rise

LC2 Wind load

A9

C2

4.76

A10

C2

2.27

(7 levels)

LC1,2,3,4,5 Combined loads

A11

C2

2.77

A12

C2

1.23

LC1 Gravity load

A13

C2

3.57

A14

C2

1.27

High-rise

LC2 Wind load

A15

C2

6.67

A16

C2

1.30

(20 levels)

LC1,2,3,4,5 Combined loads

A17

C2

4.35

A18

C2

1.56

To compare the two different optimisation methods, each simulation of each case study is
evaluated by using the following measure of effectiveness (e) of optimisation (o):

eo =

E2 n 1 *VFE ;2 n 1
E2 n *VFE ;2 n

(8)

Figure 5: Research engine, typical run for case study A11


In equation (8), E stands for the sum of all finite elements' total strain energy, for structural
design 2n and 2n-1 respectively, whereas VFE is a variable that represents the total volume
of finite elements used in the simulations, again for either design 2n or 2n-1, indicated by the
subscript. Note that the measure of equation (8) is sensitive for both optimisation methods. If
low strain elements are removed with the method element deletion, the total volume of finite
elements will decrease for design 2n, whereas the total strain energy level will not change
significantly, thus leading to a higher eo value, which indicates improved optimisation. For
the topology optimisation method, the total volume of finite elements will be constant,

79

however, here the total strain energy will decrease for design 2n, again increasing the value
of the effectiveness of optimisation. More extended case studies, including more realistic
building forms can be found in Hofmeyer & Davila Delgado (2013).

5. Conclusions
If table 1 is studied, it can be seen that topology optimisation is always more effective than
element deletion, and even more significantly for taller designs. This can be explained by the
fact that topology optimisation is an iterative procedure, whereas element deletion is only
carried out once. Furthermore, a taller building implies more degrees of freedom in the finite
element simulation, and topology optimisation benefits from higher numbers of elements.
If the specific load cases are taken into account, the case studies show that both methods
perform better for LC2 Wind load than for other cases, in most situations. This is because a
single wind load results in a strongly non-equally distributed strain energy field in the design,
which enables a better optimised design more easily.
The effectiveness of optimisation measures shows that topology optimisation is more
effective than element deletion, and if structural optimisation is used for exploring a solution
space and evaluating the design process outcomes, this is a deciding factor. Besides,
during topology optimisation a structural design remains stable, whereas element deletion
may render the design unstable. However, when structural optimisation is used to study the
primarily design process (e.g. via the research engine), the qualitative effects of both
methods can be compared, and element deletion is computationally much more efficient.
Because even an unstable design will be usable in the research engine, for this case the
method of element deletion is preferred.

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82

BIM at small architectural firms


Bert Leeuwis MSc1, Dr. Matthijs Prins MSc2, Alexander Pastoors MSc3
Abstract
In the architecture, engineering, and construction industry, the interest in Building
Information Modelling (BIM) is growing. The frontrunners in the application of BIM are mostly
larger firms and the question arises whether the use of BIM by smaller firms can be
successful and profitable. Architects are not always convinced about the value and
necessity using BIM; a commonly heard note is that BIM is to be used by large parties and it
has too little benefits for smaller firms. This paper provides insight in the uptake of BIM use
among small architectural firms in the Netherlands, and answers the question if and to what
extend contemporary BIM technology is adopted by this group. Additional,
recommendations are given for implementation strategies. In cooperation with The Royal
Institute of Dutch Architects (BNA), research was done amongst all 1300 BNA-associated
small (10 FTE) architectural firms, using an internet survey (response 22%). At 8 small
architectural firms with BIM experience, employees were interviewed to enrich the data
coming from the survey. The outcomes of the research seem promising for future
application of BIM, also for smaller architects offices.
Keywords: BIM, BIM adaptation, AEC sector, Small architectural practices

1.

Introduction

Building Information Modelling (BIM) is often assumed to force a real paradigm shift within
the AEC world (Eastman, 2008; Prins & Owen, 2010). This as utilising full BIM potential
supports and requires- better and early collaboration between the partners in a building
project, for instance like in so called IPD processes (Thomsen, 2009), and thus will result in
more integrated and so likewise assumed better projects. The rise of the use of BIM within
the AEC industry is expected to a rather quick adaptation. For instance Deutsch (2011)
expected that already in 2012 the use of BIM within the AEC sector, would be at almost the
same level as CAD after its introduction in the late eighties of the previous century was
approximately after 10 years in 1997. The Government Building Agencies (GBA) of Several
Countries (Wong et.al, 2010) already requires the use of BIM by some or all parties for their
projects. Recently, Bernstein (McGraw-Hill Construction Report, 2012) reports a 71% level of
BIM adaptation in North America with the larger firms (contractors) on top with 91%.
1

Systems Engineer; Force Company; C. Fockstraat 47, 2613 DC, Delft, The Netherlands; Email:
aj.leeuwis@gmail.com.
2
Associate professor Design and Construction Management; Department Real Estate and Housing;
Faculty of Architecture, Delft University of Technology; P.O Box 5043, 2600 GA Delft, The
Netherlands. Email: M.prins@tudelft.nl
3
Policy officer architectural design and technology; The Royal Institute of Dutch Architects (BNA);
Jollemanhof 14, 1019 GW, Amsterdam, The Netherlands. Email: apastoors@bna.nl

83

Remarkably amongst the non-users a growing resistance is reported, this especially


amongst architects. In general BIM is assumed to led to more integration by better
coordination, information exchange, process management and consequently cost and time
reduction.

2.

Literature survey

BIM technology often is assumed to result in a real paradigm shift within the AEC sector
(Eastman, 2008; Prins & Owen, 2010) in terms of its potential for new ways of better
collaboration and integration. However a lot of parties at the moment are struggling with the
technology, or even still have to start using BIM. It might seem reasonable smaller firms, not
having as much financial means as their bigger brothers, might face the largest problems
here. Sources like Jernigan (2008), Succar (2010) and Lu & Li (2011) define as a precursor
of the collaborative Big BIM, the so-called little BIM, which is limited to the use of BIM in
internal processes. However, it needs to be mentioned that the transition between both
terms is rather smooth and cannot be seen binary. The use of Open BIM further supports
participation in integrated projects, regardless of the specific software tools used by the
involved parties. Open BIM, an initiative of buildingSMART International, is a platform
unbound approach to the collaborative design, realization and operation of buildings based
on open standards (e.g. IFC) and workflows (e.g. VISI) (buildingSMART, 2012).
Research to the experienced advantages and barriers of BIM within several national
contexts has been done before in Australia, the UK, the USA, Germany and France
(Bernstein and Pittman 2004, Yan and Damian 2008, Gu et al. 2009, Gerrard et al. 2010,
Deutsch, 2011), as well as it is widely covered within more general research literature
(Hartmann et al., 2008; Succar, 2009; Thomsen, 2009; Harris, 2010; Nederveen et al., 2010;
Owen et.al., 2010). The most mentioned advantages for the use of BIM by architects are
improvement in coordination, process and product integration, less rework, reduction of
avoidable costs, increased production and fewer requests for information and change
orders, catalyst for innovation, supply chain integration and sustainability. The presumed
disadvantages and barriers that restrain architects from implementing BIM are examined as
well by different authors. According to Howell and Batcheler (2005) the reduction of costs
and time is not sufficiently proven yet. Software vendors often list the use of the traditional
Design-Bid-Build organizational model as a barrier for implementation of BIM. Thomsen
(2009) supports this point of view. In his publication on Integrated Product Design (IPD), it is
shown that an integrated way of working, like IPD, can avoid problems with self-interest of
parties (Prins, 2004; 2009) and legal issues. Another view, mainly focussed on a lower level
of implementation, is that some benefits can also be reached without an integrated approach
(Deutsch 2011). The effort that has to be put into the design in case of BIM usage shifts from
later design stages to earlier design stages resulting in an expected overall gain of time. This
might not seem a problem at first sight, but most clients refuse to adapt their fee structure to
this new situation what could be a serious problem, especially for smaller firms. This, even
more, seems to be the case, when also the division of hours spent between the parties
involved is changing. Deutsch (2009) and Schultz (2011) report on five fallacies concerning
the use of BIM amongst architects: productivity loss, costs for learning how to use the new
technologies, hindrances with the regular processes, profitability is more at the client side

84

than at the designers, failure risks. Chao-Duivis (2009) and Deutsch (2011) mention in
addition some juridical aspects as intellectual ownership and liabilities, which are often
experienced as unsolved at the moment.
Research to the impact of BIM on small firms within the AEC industry, especially
architectural firms, has not been done in this way. Above listed researchers havent focussed
on small firms especially, however different sources address the need for special attention
for small firms (AIA; Haliburton, 2010). To measure whether or not one is using BIM isnt
really sharply delimitated. In some publications BIM use already starts when one uses 3Dobject modelling. Actually in the early nineties of previous century applications like Architrion
and ArchiCad already were 3D object based. Even for the early AutoCad, and originally
Unix-Like MicroStation packages, special domain bound 3D object based applications
were built, running additional on top of these vector based- software. Measuring BIM
application is also problematic due to the different so-called BIM maturity levels, which can
be distinguished (Succar, 2010, Berlo & Sebastian, 2010). In line with Eastman (2008) and
according to a lot of following authors, BIM use starts when the actual BIM model contains
object-based information of least two different disciplines and the BIM model is shared by at
least two or more disciplines whether or not concurrently working together with the same
model. In this research we included the stage before in which practices use 3D object based
modelling to advance their processes and internal collaboration within the office. Typically for
architects offices in a lot of countries within and outside Europe is the relative amount of
small offices. According to a report of the Architects Council of Europe (ACE, 2008), of the
in total 130.000 private architectural practices, more than half (54%) of these practices are
one-person firms. A further 35% have between 2 and 5 architectural staff. Eight per cent of
practices have between 6 and 10 architectural staff and 3% have 11 to 30. Only 1% of
architectural practices have more than 30 staff. Within the Netherlands 87% (1300 out of
1500; numbers are only valid for BNA registered offices, which are around 70% of all Dutch
architectural practices) of the architects offices is smaller than 10 persons. Of this
population around 58% are one to two persons firms. For these Small -and Medium- sized
Enterprises (SMEs) it is reasonable that the investment in BIM software, hardware and
training might be a substantial barrier to start implementing it within their daily practice. In
addition momentarily the credit crunch put the whole AEC sector under pressure. In addition
to this, it can be assumed that the new paradigms connected to the implementation of BIM
technologies are forcing practitioners to redefine their business models (Smith and Tardif,
2009; Hardin, 2009; Prins & Owen, 2010; Haliburton, 2012). As far as in the literature survey
these adaptations are made explicit, no sources could be found presenting evidence based
guidelines focusing in special on architectural SMEs. Smith and Tardif (op. cit.) even more
note the general lack of knowledge on the needed change of business models while utilizing
full BIM potential, which given the literature survey done within this research project, is a still
valid observation nowadays. It is widely accepted that the existence of small architectural
firms, in particular due to the nature of their small size, is a typical necessity for the creativity
and innovation potential of the architectural domain. Especially young designers who have
strong visions and high innovation potential often choose to establish a design office of their
own. So as the wider construction industry seems rapidly adapting BIM, smaller practices
have to follow but it seems reasonable these smaller offices due to their rather unique social

85

structure (Mintzberg, 2001; Kalay, 2006; Haliburton, 2012) will adopt and adapt to BIM
technologies in a different manner than larger practices.

3.

Methodology

The aim of this research was to investigate first the actual BIM use amongst small architects
offices. Secondly, to investigate the experiences of these assumed early- architect SME
adaptors concerning the use of BIM in terms of challenges and pitfalls. Thirdly to determine,
whether or not, specific guidelines for architectural SMEs could be retrieved out of the
experiences of the early adaptors. The research was done in three parts: a short explorative
literature study (described in paragraph 2), an internet based survey, and expert interviews
to reflect on the survey findings. The survey was developed, in collaboration with the Royal
Institute of Dutch Architects (BNA), and was send out to all (BNA-registered) 1300 architect
SMEs (10 FTE) within the Netherlands. Of this population 58% has up to 2 fte, 27% has 2
till 5 fte and 15% has 5 till 10 fte.
Almost 300 offices responded to the questionnaire. Based on the literature research, the
survey and the interviews afterwards, the state of BIM use among small architectural firms is
reported and suggestions for implementation strategies are given, both on the level of small
architectural firms as well as on the level of professional representative bodies like the BNA.
The goal of the survey was to get insight in the current state of BIM use and to explore the
pros and cons that small architect firms experience or expect. The questions within the
survey consisted of series of subjects, partly based on the BIM Maturity Index (Succar
2010), and the Dutch based BIM QuickScan (Sebastian and van Berlo 2010). Questions
about experiences, performance, incentives and barriers are added based on the literature
study. To increase the willingness to complete the questionnaire, routing is used depended
on the BIM maturity level. Specific questions are asked to respondents who are experienced
in the field of BIM and to respondents with less experience. This division also leads to closer
insights into the percentage of uptake of BIM, as will be explained in the results section of
this paper. The subjects of the questionnaire were devised in: Leadership, Hardware &
Infrastructure, Collaboration, Human Resources, and Products & Services. Points were
awarded to answers on questions within these subjects to compute a maturity level from 0 to
4 mainly according to Succars (op. cit.) maturity levels. The scope of the levels reaches
from very little BIM use to optimised BIM integration. Level 0 is the pre-BIM stage; level 1
represents just using BIM software for 3D modelling, at level 2 one starts collaborating
foremost internally- with the use of BIM technologies; at level 3 real network based
integration is taking place, level 4 are all those uses outreaching level 3 in terms of real
innovations. Compared to the terminology of Jernigan (2008), who separates Big BIM from
Little BIM, level 2 is quite similar to Little BIM.
The results from the questionnaire were discussed with architects with BIM experience at
eight architectural firms. This list was made up in consultation with the region managers of
the BNA and based on an equal distribution over the size categories.

86

4.

Results

4.1

Results from the survey

The questionnaire was spread among 1300 small BNA-offices. A response rate was reached
of 22% (n=283). The segmentation of the offices, categorized by size class, is consistent
with the overall segmentation of the researched population as given in figure 2. The routing
of
the
questionnaire
devides
the
respondents
in
two
categories:
A)
Respondents that call their firm frontrunner and have at least 2 BIM-projects
delivered or/and respondents with more than four BIM-projects delivered.
B)
Firms with less BIM-projects delivered or no BIM experience at all.
Apart from the general questions, specific questions were asked to the groups on their BIM
use. See figure 1 for routing procedure and numbers.

Figure 1: Categorization of respondents


Sixteen per cent of the respondents met the requirements for category A and were labelled
experienced. Table 1 provides the details on the amount of projects executed per category,
using BIM technology. The level on which BIM is applied in those small architectural firms is
relatively low. Only the experienced group (category A) reaches an average level 2. Among
the less experienced firms, the first steps of BIM implementation were made by starting to
use BIM software. Table 2 and 3 and figure 2 show that the use of BIM-compatible software
as well as the use of BIM modelling methods is present in the less experienced group
although at relative low rates (only 15% of the B category uses full 3 D object modelling
within their projects). More in special table 3 provides insight in the own judgement of the
responders on their maturity level. Thirty-five firms that already delivered BIM-projects, didnt
meet the requirements for category A. In terms of the use of BIM software by smaller
practices in the Netherlands, ArchiCad is the most widely used package followed by Revit
(Autodesk). A recent report on the use of BIM in the construction industry in the Netherlands
(Berlo & Dijkmans, 2012) revealed (surprisingly given all data-exchange problems in the
recent past) that Vectorworks is one of the most often used BIM software packages industrywide.

87

Total

> 30 projects

> 20 projects

> 10 projects

10 projects

9 projects

8 projects

7 projects

6 projects

5 projects

4 projects

3 projects

2 projects

1 project

No projects

Table 1: Number of BIM-projects per firm

Category A

10

45

Category B

201

16

13

238

Total

201

16

13

11

10

283

Category A: Experienced firms (see Figure 3)


Category B: Firms with no experience or little experience (see Figure 3)

Collaboration by using BIM technologies amongst small architectural firms is


underdeveloped, it only occurs incidentally and in most occasions parties aim at data
exchange within the same software family and within their own office. Most interviewees
point out concerning their future expectation that BIM methodology is about collaboration,
but almost none has reached this level yet. Some interviewees dont even describe their
current approach as BIM, they call it, and most probably right, just 3D-modelling and plan to
upgrade their level to real BIM in the near future.
Table 2: Position of respondents

Table 3: Crosstab way of modelling by category

Most used way


of drawing/modelling
within the firm?

Category

Total

Frontrunner

Follower

Awaiting

Position of respondents firms with


regard to other architectural firms?

Total

Full 2D

48

48

CAD with visualizations


in 3D

93

95

Both 2D CAD and


object based 3D

14

62

76

< 2 FTE

118

93

19

230

2 - 4 FTE

17

>4

29

36

Full object based 3D

29

35

64

119

107

57

283

Total

45

238

283

Total

The results that small architecture firms achieve by using BIM are experienced positive and
even in case of low maturity and integration levels the use of BIM is reported to be
profitable for all interviewed firms. The most often mentioned barriers and motives to hesitate
implementing BIM are time and costs expected to be involved with it. The investment in both
acts as a barrier for the inexperienced firms, while contrary experienced firms took cost and
time reductions as a motive to start the implementation. Some of the interviewed architects
confirm these findings stating although also in first instance facing time and cost as to be
barriers, after having made the steps for implementing BIM and having had the first
experiences, clearly these were worth the investments made. To investigate this in more
detail, all category B firms were asked about their main reasons hesitating to implement and
further develop BIM within their practices. Fifty per cent of the responders mention a lack of
interest from their clients. This might be reasonable assuming these smaller firms often will

88

serve most non-professional clients with relative small not too complex projects. Direct and
indirect costs involved are on the second and third place (42 and 36%). Figure 2 provides a
detailed overview. Its remarkable that further analysing the data only 30% of the
respondents expecting too high direct cost for implementing BIM only can define this
proposition on a guess without having tested it based on experiences of colleagues or
market research. The same figures appeared to be true as results of our questionnaire
concerning indirect cost estimates.

Figure 2: Reasons for not applying BIM (yet)


Within the A category of respondents the questionnaire asked for prime motivators for using
BIM. Remarkable here, given the contrary expectations as expressed in other answers, are
the expected cost savings (50%) although with 70% on top is future market position of the
firm (figure 3). Further analysis of the data shows that only 3% of the responders frequently
is confronted with clients asking BIM, 17% now and then, 19% seldom and 62% never. In
terms of acquisitions, procurement routes and design contests, BIM requirements follow
almost exactly the same numbers. The common made estimation in the literature that BIM
leads to more integration is refused by 7 % of the respondents while 25% took a neutral
position.

Figure 3: Motivators for applying BIM


Only 13% fully agreed with this proposition. The proposition that the hours spend by
practices at the moment cannot be properly declaimed in time with the client seems to be
true within the survey population. Only 30% is satisfied here, 30% is dissatisfied and 40% is
neutral. This is equally spread within the A and B categories. Seventy-eight per cent of the
respondents have stable partners for collaboration, like engineering consultants, cost
engineers and constructors. It might seem a reasonable assumption that having such

89

partners stimulate the use of BIM (sharing experiences for future benefits). Applying the socalled Chi-square test however shows within our data there is not a significant correlation.
Within the survey results also no significant correlation could be found between the amount
of employees and category A and B practices. In line with this there was also no significant
correlation between BIM maturity level and the amount of employees.

4.2

Expert-interviews

The survey results were discussed in 8 expert interviews. In addition to the comments
already made within the previous paragraph this revealed the following insights:
Clients of small architecture firms differ much in size and typology. Private clients with
smaller projects have a large share in numbers, but small architectural firms also work for
professional clients. These professional clients develop bigger projects as well. Architectural
firms within our population that do not use BIM see a lack of interest among their clients as
the main barrier. Experienced firms endorse the lack of familiarity with BIM under clients;
however they do not experience this as a barrier. In their experience, after having been
confronted with the use of BIM, most clients are positive and willing to aim at BIM use in
following projects. So not only the industry but also clients have to be informed about the
benefits of BIM. To convince clients in general on the advantages the use of BIM technology
might have for their projects, seems a challenge here. Clients also have to be convinced that
for getting these benefits, the fee structure between consultants and phases needs to be
adapted to the new way of working with BIM. Setbacks that occurred when implementing
BIM were concentrated around costs and software. The large investment costs are
experienced as drawback, but interviewees immediately compensated these drawbacks with
the experienced benefits. The interviewed architects describe the problems with software as
part of the development stage in which BIM-software is at this moment. Big investments in
software applications, object libraries and hardware have to be under serious consideration.
With that the gains of increasing productivity have to be taken into account. Organizations
like BuildingSMART International develop international object libraries and local
organizations like CUR B&I and industry organisations like the BNA cooperate with firms
from the AEC industry to develop national implementations of these standards. The
interviewed architects seemed well informed on these developments.
The most important step in the implementation of BIM is the convinced choice to start using
BIM. The organizational structure of the office is important to mention since the strategy for a
flat, operational adhocracy like organization (Mintzberg, 2001) characteristic for most SMEs
within the researched population, is different from the stratified hierarchical structures often
seen in larger firms. Encouraging employees in an early stage and involving them thoroughly
in the process shows good results. Cooperation with other parties with experience in the field
of BIM happened mostly by coincidence but acted in all cases relevant as real catalyst for
the implementation. Also the very few- clients willing to start working with BIM are
supporting the implementation process.
The choice which software and hardware to apply is part of the implementation process and
should be well considered. The researched firms had different reasons for their choice:

90

experience with a certain software developer, compatibility with the systems already used,
the aim for open standards and sometimes refusal to work with the bigger and more
expensive software vendors. Another important part of BIM implementation is training. The
researched firms report good experiences with a basic course, followed by training in real
projects. Following Deutsch (2011), this gives much better results than training on unrealized
pilot projects. A side effect of this approach is that these real projects bring in financial
revenues and therefore keep down the lid on costs. Exchange of knowledge between
experienced engineers and younger employees with less practice experience but more
academic based- modelling skills, is advocated.
Legal issues concerning contracts, intellectual property and the responsibility for the
coordination of the model are well known (Chao-Duivis, 2009). These issues are also part of
the experiences of the small architecture firms.

5.

Conclusions and reflection

The main finding of this research is that the application of BIM is profitable for small
architecture firms, even when practiced with a relatively low maturity level. At the moment,
the use of BIM by small architectural firms is mainly limited to internal processes because of
a lack of experience of the architectural firms themselves, their clients, as well as the other
parties in the AEC industry they work with. However, the majority of those who undertook the
effort to implement BIM within their organizations consider these little BIM implementations
already profitable.
The amount of BIM use amongst small architectural practices isnt at real high numbers. At
this moment in our survey only 22% of the smaller practices are at a level of full 3D object
modelling. This at least was far lower than expected by the researchers. Not surprisingly and
consequently only 13 % of the respondents experiences advantages of BIM in terms of
integration. It seems, the wider belief in the research community and industry that BIM
technology will introduce a real paradigm shift in terms of integrated working methods and
consequently also will support integrated working procedures and/or procurement, isnt really
shared yet by the population researched. The same seems valid for supply chain integration,
as we found no correlation in our respondent group concerning the use of BIM, related to the
level practices are used to work with the same partners for their projects.
The large majority of firms in this research didnt experience possible profits of effects
integrating disciplines and processes between parties outside the own firm. This might be
due to their own, rather low, maturity level as measured, the implementation level of the
firms they cooperate with, or the level in general of BIM usage outside the architects
domain. At least it can be concluded here is route to go, and more research to be done.
The opportunities, advantages, disadvantages and barriers that emerge from this study are
largely consistent with the results of Yan and Damian (2008) and Gerrard et al. (2010) in a
wider field of larger architectural firms and other parties within the AEC industry. Therefore
the assumption is made that results from research in this wider field have a strong
relationship with the situation for small architectural practices as well.

91

Remarkably barriers, which are more specific for the category of practices studied, are the
not knowledgeable clients they are confronted with. Educating the client audience might be
put high on the agenda to support the use of BIM technology by smaller practices. Although
it has to be remarked based on our interviews that clients, confronted with architectural
practices using BIM, dont see this as a threat for their project. Another point connected to
this is the fee structure, which at the moment is not adapted to the amount of hours spend
while the division of hours is different from the traditional processes. It might be assumed for
smaller practices this will lead to bigger problems in terms of their financial stability as for
larger firms.
Those not utilising BIM at the moment see the amount of direct as well as indirect cost as
one of the main barriers. However those practices already using BIM have contrary
experiences to these cost assumptions. Most of them, independent the amount of
employees are convinced also on short terms that the use of BIM is profitable.
None of our findings within the group of architectural practices smaller than 10 FTE,
correlates significantly with further segmentations on the amount of employees. Size doesnt
matter, seems a valid statement here. The same can be remarked concerning BIM maturity
levels.
The potential of BIM technology goes beyond the responsibilities of de different parties and
reaches the whole lifecycle of the building. Roles will become different, as well as the
division of hours spend throughout the phases of the process. New tasks have to be defined
to fully reap the benefits of BIM application during the whole lifecycle. For legal transparency
and full integration within the project team, services rendered must be rewarded and the new
roles should be introduced and laid down in the professional regulations. Especially for the
smaller practices, which might face more difficulties as the larger ones, here is an import role
for the professional bodies. Also especially for our target group, knowledge dissemination
and education might considered to be essential.
Architects had an overall coordination mandate in the past and some still aspire to do so.
BIM technology provides the change for architects as prime model makers (Prins & Owen,
2010), to uptake their traditional tasks again, and doing so widen their portfolio of services to
the market. Whether an architectural firm is able to do so depends on the typology of the firm
and other parties could be able as well, but for those firms able to, here are challenges to
develop their businesses. For utilising this growth potential the architects sector and thus the
professional bodies have to develop and disseminate the appropriate knowledge and
process models and regulations connected. An open approach to collaboration in building
projects is needed to gain all the benefits BIM technology can provide. Classically parties in
building processes have a certain resistance for unconstrained information sharing (Prins,
2004; 2009). The risk to lose control or to be held responsible for others mistakes is one of
the reasons for this. Rules and regulations should be developed to cope with these issues.
As the AEC sector all over the world is rather active in this respect, dissemination of these
developments ought to be a point of attention, given the remarkable small percentage found
in this research of practices using, or even believing BIM can be of help collaborating with
others aiming for integrated processes and products.

92

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94

Critical success factors in multi-organizational design


and construction projects
Pavni Sahni Kohli1 and Sebastian Macmillan2
Abstract
The IDBE masters programme at Cambridge attracts early mid-career built environment
professionals from across architecture, engineering, surveying, project management, and
construction law. Their first assignment is to write a critical and reflective 5000-word account of
a construction project in which they have been engaged. They are asked to report on their own
actions and those of others, and on the outcome as they see it. Since the course started in
1994, some 292 case studies have been submitted. From this rich data source, 15 cases have
been selected for detailed investigation. They are from different authors and organisations, and
have been selected primarily for the authors reflections on people-based issues like teamwork,
leadership, communication, design integration, and collaboration among different disciplines.
The writers are not briefed to focus on critical success factors but the case studies have been
analysed against a set of 31 critical success factors drawn from the literature. The expectation
was that projects judged by the authors as having weaknesses in terms of delivery or quality
would lack vital attributes found in more successful ones. However, the pattern across the case
studies is less clear with examples where despite good leadership, commitment, honesty,
credibility, well-defined responsibilities, and high degrees of technical skill, the outcome is
nevertheless judged by the writer as low-performing. At the same time, a set of ten factors that
all the better-performing cases shared have been identified: the setting of a challenging task;
commercial awareness; technical skills; social skills; attention to team building process;
interdisciplinary working; client focus; change management and flexibility; passion and
enthusiasm; and motivation. The results have implications for the IDBE course syllabus.
Keywords: case studies, success factors, interdisciplinary collaboration, motivation,
social skills.

1 Introduction and objectives


This study draws upon an original database of 292 case studies submitted over an 18-year
period by students of the Interdisciplinary Design for the Built Environment (IDBE) course at the
1

Research student, IDBE Masters Programme, University of Cambridge, email: pavnisahni@gmail.com


Course Director, IDBE Masters Programme, University of Cambridge, 1-5 Scroope Terrace, Cambridge,
CB2 1PX, UK, email: sgm24@cam.ac.uk
2

95

University of Cambridge. As part of their course-work, every student is expected to prepare a


case study where they review and assess a recent project in which they have been involved.
The main purpose of the assignment is an educational one of encouraging the writers to reflect
critically on a project with which they are fully familiar and have most of the facts at their
fingertips. Critical reflection and effective communication are among the key aims of the course
itself. The case study briefing to the students in the Course Handbook includes requiring them
to describe and reflect upon the decisions and actions of the participants, to gauge the strengths
and weaknesses of the process followed, and to evaluate the outcome. The aim of this analysis
is to undertake a cross-case comparison, to report on the factors that the authors identify as
critical to project performance, to offer some generalisable lessons about project success, and
to assess the course syllabus against them. Because of the scale of the task in comparing
cases, just 15 cases from the 292 have been chosen. The selection of projects was made
before any detailed analysis was undertaken. Author and project details are given in Table 1.
The projects ranged from a $1bn project down to just 4.5m. The median value is 30m.
Projects were selected according to the following criteria:

Detailed coverage of teamwork and process issues including collaboration across


professional disciplines: as opposed to a more technical focus.

Completion: the project (or part of it reported upon) had been constructed; none of the
projects was a design-stage only case study.

Size and type: domestic-scale projects were omitted, the smallest in value is US$4.5m.

Location: while IDBE students come from all over the world, selected projects were
limited to those in UK and US.

Table 1 Summary of the 15 projects chosen for analysis


CS

9
7
5
11
14
15
13
4
3
10
8
1
12
6
2

Discipline of author (and project role


if different)
Civil engineer
Architect
Structural engineer
Structural engineer
Project Manager
Mechanical engineer
Mechanical engineer
Mechanical engineer
Structural engineer
Architect (project manager)
Building Regulator (client and end user)
Structural engineer
Building Regulator
Architect
Mechanical engineer

Project
location
US
UK
UK
UK
US
US
UK
UK
UK
US
UK
UKI
US
UK
UK

Project type

University science complex


Multi-storey office
Multi-storey office
Multi-storey office
Media centre
Art museum
School
School, library and housing
Sports stadium
Industrial scale bakery
Council Offices
University research building
Food production facility
Agricultural college
Low carbon housing

Cost US$
000s*
1000
160
150
100
72
50
36
30
30
20
10
10
5
5
4.5

*Some of these cost figures are estimates based on floor areas

96

2 Literature Survey
There are many definitions and explanations of when a project is a success, and success for
one stakeholder or group of stakeholders does not necessarily represent success for others. For
example, a prizewinning architectural project may have been highly challenging technically
leading to expense and delays. As Jugdev and Mller (2005) state project success is
ambiguous and highly context dependent. Nevertheless, several authors offer descriptions of
success. Ashley (1987) describes it as results much better than expected or normally observed
in terms of cost, schedule, quality, safety, and participant satisfaction. Tuman (1986) sums it up
as having everything turn out as hoped . . . anticipating all project requirements and having
sufficient resources to meet needs in a timely manner. A more comprehensive definition is
given by De Wit (1986) who argues: The project is considered an overall success if it meets the
technical performance specifications and/or mission to be performed, and if there is a high level
of satisfaction concerning the project outcome among: key people in the parent organization,
key people in the project team, and key users or clientele of the project effort.
Accepting that success is relative, is it nevertheless possible to determine common factors that
contribute to its achievement so that organisations and individuals can become more aware of
them, and universities can address them in their teaching? The topic of CSFs has attracted
considerable interest from both academic and professional communities, and numerous studies
have been conducted that seek to define critical success factors (CSFs), especially within
information systems, R&D, and various engineering environments. Table 1 shows some
descriptions from the literature.
Table 2 Some descriptions of critical success factors from the literature
Rockhart (1979)

Anderson et al.,
(2006)
Jugdev and
Muller (2005)
Cooke-Davies
(2002)

Fortune and
White (2006)

CSFs are a means of identifying the essential elements that need to be addressed for
organisations to implement change more effectively. Within a project context, CSFs can
be described as the factors that the manager needs to keep a firm eye on to achieve a
successful delivery.
The implication is that if critical success factors are not present or taken into consideration,
problems will be experienced which may act as barriers to success.
Project success is ambiguous and highly context dependent. Consequently, what is
considered to lead to success is coloured by personal perception and by the
circumstances under which the judgement is made.
The question of which factors are critical depends on answering three separate questions:
What factors lead to project management success? What factors lead to a successful
project? And what factors lead to consistently successful projects? Cooke-Davies
distinguishes between project success (measured against the overall objectives of the
project), and project management success (measured against traditional measures of
performance such as cost, time and quality). A further distinction is between success
criteria (the measures by which success or failure of a project will be judged) and success
factors (those inputs to the management system that lead directly to the success of the
project).
These authors demonstrate there is lack of consensus about what factors affect project
success. They found the three most cited factors to be support from senior management;
clear and realistic objectives; and the production of an efficient implementation plan.

97

Researchers concerned with the production of the built environment have identified several
critical frameworks for success. The most basic comprises the widely accepted trio of time, cost
and quality which, at its most elementary, is an assessment of whether a project meets the
budget, the timetable and the technical specifications (Phua, 2003). Certain success criteria are
concerned with the delivery team and its procurement and management procedures such as
project partnering, construction contracting methods, planning and project management (Chua
et al,1994). Equally from the perspective of clients and other building users, lie issues of
whether qualitative and quantitative client expectations, plus those of the wider stakeholder
community, have been met. Without the inclusion of these issues, the measurement of success
is incomplete, and normative frameworks will be inadequate to guide management (Zwikael and
Globerson, 2006).
In construction management, Chan et al (2004) propose that CSFs can be sorted into five
independent groups which they term: human related factors (experience, client characteristics,
project team), project factors (type, complexity, size), project procedures (procurement,
tendering), project management actions (communication system, planning and control
mechanisms) and external environment (social, economical, political).
In their study of a multi-disciplinary engineering consultancy in the UK, Koutsikouri et al (2008)
state that there are few studies of the design phase of construction projects that use the
framework of critical success factors. She and her colleagues summarise the organisational
setting as often multidisciplinary and characterised by creativity, iteration and the uniqueness
and temporality of project arrangements. They note that the challenges faced by project
participants are many and varied, there is high dependence on diverse skills, often difficulty in
developing a shared vision, and limited time to locate relevant knowledge. They identified that it
is vital in design projects involving different professional disciplines to include soft skills, that is,
the subjective dynamics of people and social processes, such as passion and enthusiasm,
creativity and innovation, and culture and values. These, they show, are all of particular
importance within multi-disciplinary design projects. Drawing on research into project
management success factors by Fortune (2006) as well as other sources, they developed a
framework of CSFs and applied it to projects in the consultancy they studied.
IDBE case studies are not limited to a single engineering design consultancy but are spread
more broadly across wider disciplines. Nor are they limited to the UK but are international. The
student authors do not necessarily share even among themselves a single definition of design,
which is an ambiguous term even within the built environment let alone more broadly across
manufacturing and the creative arts. Nevertheless the framework of critical success factors used
by Koutsikouri and her colleagues has been adopted for this study. The list of factors is shown
in column 2 of Table 3 (below).

98

3 Data Analysis
In an iterative process, each of the 15 projects was subjected to an independent review and
evaluation by the first author of this paper. The text of each case study was scrutinised to
identify references to the 31 CSFs, and the relevant content from the original case study
referring to each CSF was pasted into a table. This resulted in a table for each of the case
studies comprising 31 rows. Next, the first author of this paper assessed the case study writers
comments about each CSF and allocated a score against each one on a scale of 1-5 (5=high)
interpreting as faithfully as possible the original case study authors perception of how strong or
weak the project was with respect to that factor. Tables 4, 5 and 6 contain selections of the case
study text in italics and the scores allocated. In all 15 cases also, the original student authors
overall perception of the project outcome from their own perspective was rated by the first
author of this paper on a scale of 1-5; again this is a subjective interpretation but at least by a
single researcher to achieve a level of consistency. Just as projects are likely to be evaluated
differently by different stakeholders, it has to be admitted that the research method adopted
here is not an objective process but a subjective one, whose aim is to identify whether there are
common patterns across this set of case studies.
Although the case studies were not written around the 31 factors, in practice detailed
examination yielded a mention of almost all of them. The scores allocated were tabulated and
the cases were then ranked by total score. Trends and patterns in the data could then be
identified and investigated. The overall ratings made by the first author of this paper were also
tabulated. The results are given in Table 3 which divides the projects into three broad categories
of low (four projects), medium (6 projects) and high (five projects) ratings. Where there is no
mention of a factor in the original student case study, table 4 shows n/a (not applicable).
Table 3 Rating ascribed to each CSF in each case study

A
1
2
3
B
4
C
5
6
7
D
8
9
10
11
12
13
E
14
15

CASE STUDY NUMBER:


OVERALL SCORE
Goals and Objectives
Defined project goals
Shared project vision
Defined roles & responsibilities
Performance Monitoring
Project management practices
Decision Makers
Quality of leadership
Team selection & composition
Commercial awareness
Transformations
Technical skill
Social skills
Team Building process
Creativity and innovation
Effective teamwork
Time management
Communication
Rich Communication
Knowledge sharing

8
1

3
1

14
2

12
2

6
3

1
3

5
3

9
3

2
3.5

13
3.5

4
3.5

11
4

15
4

10
4

7
4.5

2
2
1

2
2
1

1
2
4

2
3
1

4
2
2

2
2
2

2
2
4

4
4
4

4
4
2

4
4
4

5
5
3

3
4
2

2
3
3

4
4
4

5
4
5

1
1
3

1
1
1

1
1
1

4
1
5

2
2
2

2
2
3

3
4
3

2
4
2

2
2
2

4
4
na

3
3
4

2
na
5

3
2
3

4
4
5

4
4
5

1
1
1
1
1
3

2
2
1
2
1
2

4
1
1
2
2
2

2
2
2
1
4
2

2
1
1
5
1
3

2
3
2
3
2
2

4
2
1
3
2
3

2
n/a
n/a
4
3
4

2
2
3
5
3
3

3
4
4
4
4
2

3
na
4
3
2
5

4
4
4
4
4
4

4
4
4
4
4
2.5

5
5
5
2
3
5

5
4
4
4
4
3

1
1

1
1

2
1

1
3

2
2

2
2

2
2

2
4

3
4

3
2

3
3

4
4

3
2

4
4

4
4

99

16
17
F
18
19
20
I
21
J
22
23
K
24
25
26
27
28
29
30
31

Management of expectations
Feedback on progress
Environment
Organizational structure
Culture
Physical environment
Boundaries
Relationships
Resources
Sufficient resources
Appropriate technologies
Continuity
Client focus
Mutual trust & understanding
Change management & flexibility
Motivation
Challenging task
Passion and enthusiasm
Shared values
Recognition and appreciation
TOTAL

1
1

1
2

1
1

4
1

2
2

3
2

3
2

2
na

2
3

2
3

3
2

3
2

4
5

4
4

4
4

1
n/a
n/a

2
2
1

3
3
n/a

3
1
n/a

2
1
2

2
n/a
n/a

2
3
n/a

4
2
n/a

2
4
n/a

3
n/a
n/a

2
4
n/a

2
2
n/a

3
3
n/a

2
n/a
n/a

4
n/a
4

2.5

2
1

1
3

2
1

2
na

3
2

3
2

4
3

5
4

4
4

3
4

3
4

4
4

3
4

2
3

3
5

1
2
1
1
1
1
1
1
39

1
1
1
2
2
1
2
0
44

2
1
1
1
4
2
1
4
57

5
2
2
1
2
2
2
1
65

3
2
3
4
4
4
1
4
74

5
2
4
4
4
2
2
4
75

4
2
3
2
4
2
2
3
81.5

4
2
2
3
4
2
2
4
85

2
2
3
4
3
4
4
5
91

5
2
2
4
3
4
2
4
92

4
2
4
4
4
3
2
4
96

4
2
4
4
4
4
2
4
100

5
4
4
3
4
4
4
4
106

4
3
5
4
4
3
1
2.5
108

5
3
4
4
4
4
4
4
122

4 Findings
As table 3 shows, the 15 projects occupy a spread of performance achievements. At the
extremes, the least successful projects show a relatively uniform pattern of low performance
across all, or almost all, of the critical success factors. At the other extreme, the most successful
projects showed fairly consistent good performance across the board. The factor physical office
environment was rarely referred to in the original case studies and does not seem to have been
a significant issue in this set of case studies. Culture was also rarely mentioned.
In tables 4, 5 and 6, a selection of direct quotes from the original case studies are presented in
italics under the various CSFs to demonstrate some of the process that has been followed in the
analysis; other summary observations about each CSF made by the first author of this paper
are given in normal text.

4.1

Low and medium performing projects

The main trend shown by the low performing projects was uniform low ratings across all or
almost all factors, although the data do contain examples of projects that are not uniform. These
have been highlighted in table 4. So for example, case studies 12 and 14 exhibited a high
quality of leadership from the client side, good commercial awareness and rigorous client focus.
Table 4 Case studies 12 and 14 low performing overall but good in parts
CS no.
CS12

CSF
a. Quality of leadership
(4)

b. Commercial
awareness (5)

Analysis including original quotes from the case study in italics


This project ranked in bottom four according to overall performance. However,
it had high scores in some factors:
a. Clients agent was dedicated and honest, high credibility, very
experienced with excellent negotiation skills and ability to solve problems
quickly and effectively.
b. Quick cost effective construction was first priority, knowledge of building
inspector used in lieu of architect to save money.
Although there was much focus on commercial awareness, this was the

100

c. Client focus (5)

CS14

a. Defined roles and


responsibilities (4)
b. Technical skills (4)

c. Challenging task (4)

only thing the team was focusing on. Very little attention to creativity and
innovation, an architect was not used in order to save money.
c. Client brief of cost control was followed religiously by the team, clients
expectations met perfectly (ON TIME), the agent dealt with the problems
competently. The strong client demanded extreme cost cutting and time
management; this resulted in other factors being completely sidelined and
effecting the morale of the team.
Overall the project did not perform well. However, it had high scores in some
factors,
a. these were clearly defined among consultants and [the consultants] team.
b. All consultants sufficiently experienced but were not integrated into the
project well, [The consultant] decided on use of evidence based design in
lieu of industry standards which was ill-matched for such a technical
project.
c. Very technical building, broadcast and data infrastructure needed to run
through entire building, needed more coordination, time and effort between
design team and owner to achieve architecture support for the facility and
design of such unique elements.

Projects with medium performance similarly showed considerable variety across the individual
factors. Table 5 shows examples including quotations where the medium projects still score
highly. One interpretation is that despite generally low scores, the seven CSFs highlighted in
Table 3 (defined project goals, creativity and innovation, sufficient resources, client focus,
motivation, challenging task and recognition and appreciation) can raise an otherwise weakly
performing project to make it moderately successful.
Table 5 Projects with moderate performance but showing some high scores in CSFs
CS no.
CS1

CSF
Client focus (5)

CS2

a. Creativity and
Innovation (5)
b. Recognition and
appreciation (5)

CS5

a. Defined roles and


responsibilities (4)
b. Team selection and
composition (4)
c. Team building
process (1)
a. Defined project goals
(4)
b. Shared project vision
(4)

CS9

c. Defined roles and


responsibilities (4)
CS13

a. Goals and objectives


(4)
b. Defined roles and

Analysis
There was constant focus on client needs. The client expressed gratitude to
design team for sensitive way cost savings had been made, with little
detrimental effect on space"
a. According to the author, it was an innovative, award winning design by
high profile star architect Renzo Piano.
b. The team was motivated to give its best as the building was in the national
register of historic buildings and afforded them much recognition and
appreciation.
a. The team was composed of experienced experts and each had a clearly
defined role
d. One factor that stood out is Team building process: There was no effort
towards team building exercises, everyone worked in isolation and people
were not proactive in building relationships with each other.

a. The main goals were to achieve high quality and complete the project on
schedule.
b. The project benefited from a strong vision statement: The [University]
Campus initiative report and a series of other documents present the
aspirations, benchmarks and clear vision that the redevelopment of a
former industrial zone into a university extension will have direct benefit
for the entire community.
Also aim to lead by example in terms of sustainable development and
construction.
c. Clearly defined by organograms in [the consultant] and [the clients
representative] to direct progress of the masterplan. They in turn
appointed [the project manager].
a. High aspirations for the school to achieve specialist status in music and IT.
b. Initially the roles and responsibilities were clearly defined but later on
there were communication problems: The specialist needs required

101

responsibilities (4)

c. Team building (4)

d. Creativity and
innovation (4)
e. Effective
interdisciplinary team
work (4)

CS6

a. Creativity and
Innovation (5)

b. Recognition and
appreciation (4)

4.2

specialised consultant appointments-causing large number of consultants


on the project. However, development of specializations led to breakdown
of understanding between the different participants--neither the design
team nor the specialists were aware of the task the other needs to
undertake. With no one spanning the gap-continual breakdown in
communication occurred.
c. Kick-off meeting (internal to the consultant) to introduce all design team
members to the scheme and to each other, this brought the members
together at an early stage and develop a sense of belonging before
turning up together at external meetings.
d. Architect, known to be perfectionist, brought in innovative measures
based on extensive research and forced consultants to think out of the
box.
e. ...seen in design of structural systems where architect and structural
engineer brought opposite ideas but adapted well to solving new problems
... the whole team bonded over the differences in opinions and the fact
that a satisfactory situation was reached in the end.
The project was moderate success, but scored high in these two factors:
a. A very creative and dominant architect: ... brilliant renowned architect
who was tenacious about his design. [He defined the goal] to build a
beautiful building which matched his vision.
b. It was a very prestigious project with much scope for recognition for the
team. Both these factors kept the design team motivated and passionate
to deliver their creative vision.

High performing projects

Table 6 summarises five high performing projects in terms of the original authors observations
tabulated against CSFs that were met to a high level. The most successful projects showed high
ratings in almost all factors but most significantly in the two areas:

Transformations - technical skills, social skills, team building process and effective interdisciplinary teamwork

Continuity client focus, change management and flexibility, challenging task and
passion and enthusiasm.

This suggests that the most successful projects focused on the core issues of creating a strong
team by team-building exercises and creating open channels of communication. Secondly they
maintained constant client focus and kept the team motivated by offering challenges tasks. This
ensured that the team was open and flexible, and managed changes well.
Another factor in which successful projects rate highly is commercial awareness which means
that the commercial value of the building was paramount. Often this led to tight control on
spending and ensured the projects did not go over budget. As a result clients were satisfied and
deemed the projects a success. Another prominent factor is management of expectations,
which is closely linked with client focus.

102

Table 6 High performing projects


CS no.
CS4

CS7

CSF and grade


a.
Defined project
goals (5)
b.
Shared project
vision (5)
c.
Time management
(5)

a.

Defined project
goals (5)

b.

Commercial
awareness (5)
Technical skills (5)
Client focus (5)

c.
d.

e.

CS10

a.
b.

Defined roles and


responsibilities (5)

Commercial
awareness (5)
Technical skills (5)

c.
d.

Social skills (5)


Team building
process (5)

e.

Time management
(5)

f.

Change
management and
flexibility (5)

Analysis
a. [The project goal and vision] ... was to deliver the project on a strict
deadline.

b. Time was managed strictly to achieve this goal ...completed on very


strict deadline, everyone did whatever it took to complete on time for the
Ashes.
a. The goal was to make the project a commercial success, give flexibility
and choice to client. Clearly defined roles and responsibilities: ... the
architects and project managers prepared a full program complete with
aims and objectives and delegated work to architects, contractors, subcontractors.
b. ... was a common thread as each decision reflected on commercial value
of the building.
c. ... excellent technical skills, best consultants in their field were used.
d. ... maintained throughout by [the architects], this was the reason for three
design options so that the client could have flexibility and choose what
they liked.
The clients prepared a detailed report with aims and objectives, this set
out the roles of each consultant. Moreover they selected the best
consultants in the field and provided them with sufficient resources. The
consultants in turn maintained clear client focus throughout.
a. Strong focus throughout, bankers always a part of meetings and advised
on costs and budgets.
b. Key problem areas were quickly identified - like HVAC and
interior/exterior finishes, and simplified to reduce time and cost (6 weeks
saved). Simple solutions like retaining a well finished concrete surface
rather than painting with epoxy high gloss saved thousands in material
and labour costs.
c.
d.

e.

CS11

CS15

f.

a.

Commercial
awareness (5)

a.

b.

Transformations (4)

b.

c.

Interdisciplinary
team work (4)

c.

d.
e.

Client focus (4)


Change
management and
flexibility (4)

d.

a.

Transformations
(mostly 4)

a.

Skills like listening carefully helped form an understanding of the


project.
The team was motivated by quick response to design discussions,
sketching by day, drafting by night and presenting next morning helped to
consolidate the design quickly.
... eye on agreed objectives and weekly score of them, constant focus on
objectives and deliverable dates resulted in project completed before
time.
By architect when client adamantly purchased and assembled nonsuitable windows which leaked and caused mildew, the architect tried an
innovative spray on sealant which worked very well. So there was
flexibility despite non-cooperative client.
As client and contractor were the same the focus was on this aspect.
Primary goal was to have maximum net lettable area. The architect was
sidelined after the initial stage to focus on building fast.
[The engineers] maintained a practical outlook and the perception of
hard work by undertaking rework, this established a good relation with the
contractor. Innovative solutions to the horizontal loads problem in the
building - this reduced maintenance and increased net lettable area.
This was seen between [the engineering consultants] and fabricators, it
limited abortive work and maximized profit. Working closely with
fabricators minimized errors.
The team worked to woo the high profile client in order to win further
work. [The engineering consultants] absorbed design and co-ordination
role, usually the domain of the architect but necessary here as contractor
passed information directly to them they maintained open communication
channels and provided innovative solutions quickly.
Highly professional and experienced staff, interdisciplinary meetings held
regularly and allowed everyone to discuss ideas and resolve problems

103

b.

Continuity (mostly
4)

together, helped to avoid breakdown of relationships despite difficult


client.
Workshops and team building process helped communication, this was
later seen in the way team handled constant changes and took them in
their stride.
Inter-disciplinary meetings were held regularly and allowed everyone to
discuss ideas and resolve problems together.
b. The team maintained rich communication and despite frequent changes
attempted to maintain flexibility and keep work on track. They also had
shared values: To see the project successfully to its end and ensure
client is happy.

5 Findings
In broad terms, projects whose authors report on them positively overall are achieved when
most of the critical success factors are also present. And conversely, when little attention is paid
to these factors, projects in this study have been reported by their case study authors as
underperforming. This is only to be expected and neither of these findings is a surprise. What is
more valuable is to assess whether, within the framework of 31 critical success factors, it is
possible to identify those that appear to be essential to high performance. According to the
present analysis there are ten success factors that appear to be crucial for high performance, in
that each of our high performing case studies scored highly with respect to each of these ten.
These are highlighted in table 4 and listed in table 7 below.
Table 7 Crucial success factors in the IDBE data set
Decision Makers

Transformations

Commercial Awareness

Technical skills
Social skills
Team building process
Effective interdisciplinary team
working

Continuity

Client focus
Change management &
flexibility
Motivation
Challenging task
Passion and Enthusiasm
A key question then becomes: how are these crucial factors rated in those projects judged as of
medium success? Here the pattern is not clear cut. As table 4 shows three of the ten (client
focus, motivation and challenging task) were fairly highly rated in the set of medium performing
projects but the other seven were not; and meanwhile the factors of defined project goals,
creativity and innovation, sufficient resources, and recognition and appreciation, were highly
rated in the medium performing projects, though they are not among the ten crucial factors of
high performing projects.
The expectation of this analysis was that as projects are rated more and more successful, then
more and more of the CSFs would be met at higher and higher levels. That simple pattern is not
entirely evident in Table 3. In part this is undoubtedly due to methodological limitations of this
study, and specifically the subjective nature of our interpretations of others project descriptions
and evaluations. But equally, it reinforces the line taken by Koutsikouri et al that simply
attempting to identify and classify CSFs is not enough in understanding how project success

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can be achieved in complex projects. Built environment projects involve complicated


procedures and processes, and the degree of integration across factors may be equally or
more impactful than success against each judged separately.
A further finding relates to the application of the CSF framework devised by Koutsikouri et al.
While their study was based upon interview data from only one organization, it has been applied
beneficially here to a diverse sample of multi-organizational built environment projects and been
found to offer an insightful assessment system for these as well. Despite the fact that the IDBE
case studies were not written in accordance with the framework, and nor were the original case
study authors questioned, a mention of almost every factor was found in each of the 15 cases.
This illustrates the potential of the CSF framework in a wider context.

6 Conclusions
Clearly every construction project is unique, and it is neither possible nor desirable to propose a
single universal formula that will guarantee a successful outcome for every project.
Nevertheless this study has usefully applied a framework of critical success factors and found it
to be an analytical tool that has helped to pinpoint strengths and weaknesses of each of these
15 projects.
In the context of the IDBE masters course, from which the case studies have been taken,
arguably the ten crucial factors from the high performing projects should be at the core of the
course to deliver to its students. Fortunately IDBE is already strongly focused on some of them
in particular social skills, team building process, interdisciplinary team working, and
client focus (as part of a broader concern with design for use and skills in stakeholder
engagement). Change management and flexibility, and motivation are delivered but to a
lesser extent. As the students are experienced professionals, there is little emphasis on the
course in technical skills other than those in connection with the sustainability agenda.
Students are set challenging tasks in the studio design projects, and those taking the course
are invariably passionate and enthusiastic which is why they want to take the course in the
first place. Measured against the crucial success factors, the largest gap in the course syllabus
is commercial awareness and this is a skill to which the course needs to pay more attention.

References
Andersen, E. S., Birchall, D., Jessen, S. A., and Money, A. H. (2006) Exploring critical success
factors, Baltic Journal of Management, 1 (2) 127-147.
Ashley, D. B., Lurie, C. S., and Jaselskis, E. J. (1987) Determinants of construction project
success Proj. Mgmt. J., 18 (2) 69-79.
Bignell, V. and Fortune J. (1984) Understanding Systems Failures, Manchester University
Press: Manchester.

105

Chan, P.C., Scott, D. and Chan, P.L. (2004) Factors affecting the success of a construction
project, Journal of Construction Engineering and Management, Jan/Feb 2004, 153-155.
Cooke-Davies, T. (2002) The real success factors on projects, International Journal of Project
management, 20 185-190
De Wit, A. (1986) Measuring project success: an illusion Proc, Project Management Institute,
Montreal, Canada, pp 13-21.
Fortune, J. and White, D. (2006) Framing of project critical success factors by a systems
model, International Journal of Project Management, 24 (1) 53-65.
Jugdev, K. and Mller, R. (2005) A retrospective look at our evolving understanding of project
success, Project Management Journal, 36 (4) 19-31.
Koutsikouri, D., Austin, S. A. and Dainty, A. R. J. (2008) Critical success factors in collaborative
multi-disciplinary design projects, Journal of Engineering, Design and Technology, 6 (3) 198226.
Macmillan, S. G. (2001) Managing an interdisciplinary design team effectively in Macmillan, S.
G., Spence R. J. and Kirby P. K. (eds) Interdisciplinary design in practice, Thomas Telford,
London.
Phua, F. T. T, (2003) Modelling the determinants of multifirm project success: a grounded
exploration of differing participant perspectives, Construction Management and Economics, 22
(5) 451-459.
Tuman, J., Jr. (1986) Success modeling: A technique for building a winning project team, 1986
Proc, Project Management Institute, Montreal, Canada, pp 29-34.
Zwikael, O. and Globerson, S. (2006) From critical success factors to critical success
processes International Journal of Production Research, 44 (17) 3433-3449.

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BIM: Rules of Engagement


David Mitchell1, Scott Lambert2
BIM: Rules of Engagement
There are challenges within the collaborative process of Building Information Modelling
(BIM). BIM creates the need to consider liability exposures, ownership issues and protection
of intellectual property. The authors contend that the right contractual framework is
fundamental to fostering and promoting this innovation. An Australian-first, a draft BIMfriendly clause bank is discussed to ensure consistent, agreed to rules of engagement,
including its application in the Australian building context. The authors experience and
learnings will have applicability to those seeking collaborative processes for BIM.
Keywords: BIM, collaboration, challenges, clause

1. Introduction
BIM is a process that involves the generation and management of digital representations of
physical and functional characteristics. The building information models that are developed
become shared knowledge resources to support decision-making, from cradle to grave
that is, from earliest conceptual stages, to design and construction, operation and eventual
cessation.
BIM does away with old ways of design where upfront architectural work is traditionally done
with little input from other project participants (for example, engineers, contractors and
facilities managers). A key strength of BIM is the ability to bring all parties together early in
the project and provide a virtual design forum to connect them and enable a review of
simulations. A further strength is the ability to ask questions, share information and raise
issues for collective resolution.
It is the focus on collaboration in the early stages of a project that sets BIM apart. Everyone
is on the same page with increased data sharing between the design and the construction
participants and the facilities managers.
Understanding and incorporating the Rules of Engagement is essential to seeking
agreement and implementing BIM. Information exchange is core to this understanding as it
is when information is exchanged that barriers typically start to appear and impede
contractual arrangements.

David Mitchell; Partner Mitchell Brandtman, 5D Quantity Surveyors www.mitbrand.com;


dmitchell@mitbrand.com.
2
Scott Lambert, Holding Redlich Lawyers; GPO Box 490 Brisbane, QLD, 4000,
www.holdingredlich.com.au; scott.lambert@holdingredlich.com.au.

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1.1 Whats happening here and elsewhere?


In the United States, the American Institute of Architects (AIA) recently released for
comment a suite of draft contractual documentation Digital Practice Documents which aim
to facilitate the use of BIMs in projects (cited in Chen 2012). AIA have outlined several legal
issues related to BIMs, including identifying the scope of work and determining participant
responsibilities for managing digital data and the BIM model (Chen, 2012).
In the United Kingdom the government is focused on addressing the impacts on contractual
obligations and protection of the design and data. The government has mandated the use of
Level 2 BIM for all projects commencing from Summer 2012, aiming for fully collaborative
BIM by 2016. The Royal Institute of British Architects (RIBA) published the BIM Overlay to
provide straightforward guidance on each RIBA work stage to successfully design and
manage construction projects in a BIM environment (Cost Solutions, 2012).
The Australian Institute of Architects (2010) recognised and reported on a significant
challenge for BIM, namely the lack of a documentation framework to underpin contracts
where BIM is used.
In July 2012, the Australian Governments Built Environment Industry Innovation Council
advisory body outlined the productivity and environmental benefits of BIM within the built
environment (Department of Industry Innovation Science, Research and Tertiary Education,
2012).
With this background in mind, the authors report on their professional experience in
implementing BIM and, in doing so, make an important contribution to addressing some of
the issues raised above.

2. Identifying and meeting the challenges to establish the Rules of


Engagement
2.1 Overview of the Australian design industry today
BIM is not widely used in Australia, at least in a formal structural way to maximise its
benefits.
At present the Australian design industry has strong dynamic skills and a comprehensive
understanding of the mechanisations of 3D modelling and its parametric benefits. The tricky
part comes when people start to explore the exchange of information and barriers start to
emerge. These barriers are contractual, rather than technical in nature, revolving around
liability, risk and protection of data and intellectual property.
For example, in the quantity surveying space, the authors have added dynamic links to the
BIM to allow accurate quantity take-off and estimating, but the information is not passed
down the line. The missed opportunity to be capitalised upon is a trusted common set of
common quantities that can be easily interrogated by each party as they are visual.

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2.2 Key challenges


Three key challenges have been identified.

Challenge one: People display a degree of hesitancy in implementing BIM on a


project because they view the project at its most complex.
Challenge two: People express liability concerns such as who bares the risk, who
controls the design and who owns the BIM. While a company may want to use a BIM,
no contract may be in place that allows them to utilise it with security.
Challenge three: Not many are asking for BIM projects.

2.3 Responses to challenges


Experience highlights achievable solutions to these challenges.

Challenge one response:


o Working with BIM on a project is quite achievable.
Challenge two response:
o BIM manager helps to reduce liability: As the different companies involved
have records of when information is sent to BIM manager, responsibility for
an inaccurate model rests elsewhere.
o Establish a contractual strategy: Provide clauses within the contract to
encourage collaborative work arrangements, and provide protection for
project participants.
o Develop a BIM Execution Plan (BEP): This will include the phase of the
project the BIM applies to, the level of detail being sought, and the desired
level of collaboration between the different fields. A risk cube is a useful tool
in this context.
Challenge three response:
o The client shouldnt have to ask for a BIM, it should be expected. All
stakeholders (clients, designers and builders) must work together to
demonstrate the full value of BIM.
o Ensure contractors can readily demonstrate the value of the BIM in each
phase and be confidently proactive.
o Have fully coordinated designs to resolve issues early in the building process
as this saves time and money, and is much more efficient.

3. Rules of engagement
Based on the identification of the challenges and responses above, a framework for use of
BIM in the design process was developed. It focuses on a useful tool - a BIM Clause Bank to enable consultants to confidently manage a contractual framework, promote BIM, facilitate
the use of coordinated design, protect intellectual property rights and assist with dispute
resolution.

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The BIM Clause Bank will help address issues associated with current contract
documentation in Australia developed for traditional delivery structures. These include
Design and Construct (D&C), Design Build Operate Manage (DBOM) and Early Contractor
Involvement/Engineering Procurement Construction (ECI/EPC), all of which are not easily
used to foster collaborative teamwork which is essential to BIM.
A BIM clause bank set out to implement the Rules of Engagement assists users with the
basic clauses that will facilitate the use of BIM in more common scenarios of the traditional
contracting environment.
The clauses have to cover the basic permissions and risk allocations without adopting the no
fault/no claim ethos of alliance contracting
The key areas that require coverage are:

Who is controlling/responsible for the model and its development


Liability for design input and use of the model
How is the collaboration and model development to occur

These issues are not unfamiliar when there is design coordination. The development of
energy/environmental rated buildings has seen many similar issues and clauses which can
be drawn upon to manage BIM issues.

4. Conclusion
The authors contend that the prospects for BIM implementation in the design industry in
Australia and elsewhere are good, and the challenges and risks can be readily overcome by
using a Rules of Engagement approach supported by the BIM Clause Bank. Having the
right tools to facilitate collaboration and gain permission to share information is sure to be
beneficial to building contracts.

110

References
American Institute of Architects (2012) Digital Practice Documents (available online
http://www.aia.org/contractdocs/AIAS076721 [ accessed 11/02/13]).
Australian Institute of Architects (2010) BIM in Australia 2010 Report (available online
http://www.architecture.com.au/i-cms?page=1.13262.13289.13527.14980 [accessed
11/12/13]).
Chew, A. (2012) Old habits die hard - Building information modelling saves time and money,
so why is it being ignored? (available online http://www.corrs.com.au/thinking/insights/oldhabits-die-hard-building-information-modelling-saves-time-and-money-so-why-is-it-beingignored/ [accessed on 11/02/2013]).
Cost Solutions (2012) Contracting in BIM (available online
www.mitibrand.com/info/latest_news/default.asp?t=1&i=55 [accessed on 10/02/13])

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Strategies, Guidelines and Project Level Leadership


as Methods for IDDS/BIM Practices in Transition
Tarja Mkelinen1, Juha Hyvrinen2, Jutta Peura3, Jussi Rnty4
Abstract
Construction project forms a multi-disciplinary organization with a goal. Whether that goal is
commonly shared or divided and fragmented is a question of management: leadership and
shared communication culture as well as design and delivery models with defined roles and
authorities. In this paper we discuss the importance of leadership and need for it in project
business change in the context of infrastructure development and construction.
We identify and analyse the approaches and concepts to be taken in to consideration for
design management for successful IDDS (Integrated Design and Delivery Solutions) and
BIM (Building Information Modelling) adoption. Our findings are based on interviews and
observations on management and leadership practices as well as assessment of BIM
management skills and levels of maturity. The analyses and recommendations describe
possible actions in BIM adoption to apply various leadership behaviours and project
management roles for desired added-values. The conclusions of this paper highlight the
need for managership and leadership in project level integrated practices. Also,
management skills and leadership styles and behaviours support BIM adoption.
The purpose of this study is to ensure that relevant approaches and concepts for project
level management and leadership are used as point of departure for formulating BIM
management guidelines for infrastructure development and construction industry in Finland.
Pilot projects and research data originate from the PRE (Process Re-engineering)
InfraFINBIM RTD project in Finland.
Keywords: BIM, infrastructure construction, change management, case study.

1. Introduction
1.1 IDDS and BIM adoption issues
In recent years many scholars have brought the change and BIM adoption into discussion
from the point of view of understanding the importance of people in the transition. The way
forward includes applying strategic and methodological BIM implementation and training

Senior scientist; VTT Technical Research Centre of Finland; tarja.makelainen@vtt.fi


Senior scientist; VTT Technical Research Centre of Finland; juha.hyvarinen@vtt.fi
3
Research scientist; VTT Technical Research Centre of Finland; jutta.peura@vtt.fi
4
Research scientist; VTT Technical Research Centre of Finland; jussi.ronty@vtt.fi
2

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plans, which are noticed by Smith (2009) and Succar (2009) to be in the core of adaptation
strategies in the forerunner companies. Deutsch (2011) argues that when adopting and
implementing BIM you are actually adapting to change; it is wise first to adapt and then
implement; change is inevitable, but transition is a choice. Kotter (2001) adds that adoption
of new approaches is a change situation where strong leadership should be emphasized.
The other relevant issue highlighted is re-engineering, the need to develop a transactional
business process models with practical strategies for the purposeful exchange of meaningful
information between BIM tools. As BIM matures in steps there are many iterations of reengineering to be done on project level processes. Succar (2010) introduces a maturity
chain starting from ad-hoc maturity, followed by defined, managed and integrated maturity.
The chain finally reaches optimized maturity, which often presumes that IDDS based service
concepts have been developed and that the whole industry branch has been able to
transform their business processes and practices, e.g. all stakeholders share the same level
of BIM capabilities and service maturity. This is the premise for successful project
performance with desired end user values, leading to BIM based business benefits, which
can be formulated as key business indicators (Aranda-Mena et al. 2009).
As the adoption of BIM is on-going, the industry still lacks BIM champions able to implement
the technology while understanding the business factors both in their own organization and
externally for their clients. The business and technology cases for BIM have already been
made and largely accepted. The social case is about to be made for firm culture and project
level culture, including working relationship, interaction and intelligence (Deutsch, 2011).

1.2 Procurement model as method of supporting integrated process


Traditional project delivery methods, such as design-bid-build, construction management or
design-build, have been widely criticized of being inefficient, too costly and failing to meet
quality expectations. In fact, the whole design and construction industry has become
increasingly fragmented over the past decades (Lichtig, 2006). Matthews and Howell (2005)
identified four major systemic problems with the traditional contractual approach: (1) good
ideas are held back; (2) contracting limits cooperation and innovation; (3) inability to
coordinate; and (4) pressure for local optimization at the expense of the project as a whole.
Emerging procurement models such as Integrated Project Delivery (IPD) and Project
Alliancing are ways to organize projects to achieve lean construction and make integrated
design and delivery teams work successfully. With the use of BIM these models provide the
industry innovative tools to eliminate waste, cut costs, improve productivity, and create
positive outcomes. Key aspirations in developing IPD are to increase collaboration between
project team members, align incentives with rewarding high-performing teams, integrate BIM
deliveries into contracts and ultimately to increase Value for Money (VfM) for facility owners.
IPD is a significant new development in procurement innovation because it integrates design
decision making, collaborative contracting and BIM technologies (Raisbeck et al. 2010).

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1.3 Leadership as method of supporting people


Leadership and management are two distinct and complementary systems of action, both
necessary for success in an increasingly complex and volatile business environment. Good
management brings a degree of order and consistency to key dimensions like the quality
and profitability of products. Management is about coping with complexity while leadership is
coping with change, which makes them complementary to each other (Kotter 2001).
Like Kotter, also Gill (2002, 2012) agrees on the importance of leadership in any
organisational change situation. Further, he proposes an integrative model of leadership for
change, reflecting its cognitive, spiritual, emotional and behavioural dimensions and
requirements. The model comprises vision, values, strategy, empowerment, and motivation
and inspiration and can be applied in varied strategic change situations. Leadership focuses
on vision, values, strategy, empowerment, and is more focused on supporting people
through motivation and inspiration. Pearce (2004) argues that shared leadership is crucial in
order to transform knowledge work. Pearce et al. (2003) introduced four types of leadership
and their relevant behavioural sets. (1) Directive leadership: issuing instructions and
commands; assigning goals; contingent reprimand. (2) Transactional leadership: dispensing
contingent material rewards; dispensing contingent personal rewards. (3) Transformational
leadership: providing a sense of vision; challenging the status quo; engaging in idealism;
providing stimulation and inspiration. (4) Empowering leadership: encouraging opportunity
thinking; encouraging self-rewards; encouraging self-leadership; engaging in participative
goal setting; encouraging teamwork.

1.4 Research statement


The infrastructure property owners in Finland have described their objectives for using BIM
and information technologies through desired impacts: high level of efficiency and safety
during design and delivery process and quality of end product (roads, railroads, waterways),
as well as generating more innovations. It is also realized that ICT enables changing the
nature of the whole procurement process; in planning and design it is possible to improve
communication and interaction with citizens and other stakeholder groups (Tiehallinto 2002).
In 2010 the InfraFINBIM project was launched to accelerate the development and adoption
of BIM by re-engineering the processes. Common vision of the owners, designers and
contractors is that by year 2014 major infra-sector clients procure only BIM based services,
in all project phases from early planning and design to maintenance and operation. In order
to support reaching the vision a set of common BIM guidelines are to be developed for
harmonizing BIM based project delivery. One of the guidelines will describe the essence of
IDDS/BIM project management.
The pilot projects and the studies in InfraFINBIM project are aimed at process reengineering, with a clear goal to implement IDDS/BIM in the field of infrastructure
construction and development. Development tasks in pilots vary from drafting and testing of
BIM guidelines and assessing the feasibility of integrated BIM processes. BIM Guidelines
are important tools in design and construction procurement as they identify models to be

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delivered and define modelling principals. In the newest set of guidelines for building sector
in Finland (BuildingSMART Finland, 2012) also managerial principals are defined; the
stakeholders in infrastructure sector are preparing their set of guidelines by the end of 2013.
In order to understand the whole picture of management and leadership in IDDS/BIM this
study was started, considering project level management and leadership in design phases.
Based on (a) reasoning on IDDS/BIM adoption challenges introduced above, (b) our
observations about BIM implementation within building and real estate industry as well as
infrastructure development and construction sector and (c) key arguments of leadership
thinkers, we argue that in strategic transition situations project organizational leadership
actions are critical and should be part of implementation of new approaches.

2. Concepts and approaches for IDDS/BIM management


In this chapter we introduce some relevant concepts and approaches noticed for IDDS/ BIM
management in the project business. They are shown as IDDS management pyramid (Fig.
1) where identified key approaches to define BIM management and leadership guidelines
are illustrated, with development path to realisation of vision as steps of strategies and
actions. We try to limit the approaches to those that have a clear effect on project level
actions, but we are aware that most of them are linked to organisational level business
strategies at the same time. Also, we do not focus on changing business environments or
trends from the society. We try to describe the approaches from an angle that opens their
connection to leaders and managers behaviours.

5.
4.
3.

Implementation
strategy

Chosen set of
approaches based
on vision and
adaptation
strategy.

Realisation
of the vision
Behaviours:
Managership and Leadership

Design Management
Project Management

Integrated / Participatory Procurement


IDDS

1.
Vision

2.
Adaption
strategy

BIM

Adaptation Strategy
Vision: IDDS/BIM transition

Figure 1: IDDS Management pyramid illustrating key concepts and approaches

2.1 Adaption strategy and BIM transition


The foundation of the pyramid is formed by the adaption strategy that is based on the vision
of IDDS/BIM transition and on the principle that it is to be lead, not just followed. Companies

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need to recognize their potential BIM benefits and develop relevant business processes and
invest in learning and knowledge management. They need to decide whether they
implement BIM as a system for data automation, information and collaboration or a key to
transform and develop new integrated business models and BIM enabled service concepts.
BIM management is a part of service concept and BIM organisational level strategies exist in
the forerunner companies.
As BIM matures in steps it is challenging to implement it on project level, with many
stakeholders in diverse stages in their own BIM adoption. When reaching for the higher
levels of BIM maturity the potential benefits increases. On one hand, BIM is seen as an
instrument for valuable and accurate information (starting from the planning phase) as well
as leaner processes and smooth workflow with full interoperability. On the other hand, BIM is
an enabler for more user-oriented and integrated design concept as well as new service
concepts using leadership actions instead of (or in addition to) more traditional management
actions. High capabilities of BIM for visualization lead to better understanding and
transparency of the project actions, promoting these changes in practices.
We argue that high level of integration is a process level tendency reflecting the growing BIM
transition, whereas collaboration and communication are tendencies of growing co-creation
between stakeholders (people). Strong interoperability is a tendency of growing need for
data transfer technologies and standards.

2.2 IDDS and Integrated/Participatory Procurement


IDDS support collaborative project delivery approaches in construction and seem to lead to
smart business strategies. The more focused use of BIM in order to receive benefits and
create value is leading to transparent design processes and supporting lean construction
and risk management. Both approaches rely on actors in the design and delivery processes
and their upgraded skills, as well as motivation and shared aspiration to execute work in a
more value adding, efficient and profitable ways. Implementing BIM as a systemic innovation
and turning the business focus on IDDS is a strategic change action. The issue of leadership
and management rises when project level design and delivery solutions are under adaption
to integrated approaches. Integration of the process is happening both in design teams, in
project teams and in the interactions with clients and users.
The IPD approach integrates better than the traditional delivery methods all team members
to form a collaborative that acts as the core group to manage the integrated project delivery
process. However, the formation of project organisation and consistency of leadership are
crucial when using IPD (or Alliancing) procurement models. Owners representatives have to
be actively involved in project leadership for the whole project life-cycle. The link to the
customer is also very important. Integrated project delivery is supported with the use of
relational contracts that recognise the reality of what needs to happen for successful project
delivery. An integrated project delivery team shares decision making, pools contingencies,
and provides incentives for team performance. Having such contracts in place creates an
environment where all team members share risks and rewards based on reaching targets.

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The organizational design of integrated/lean project delivery is based on demand, value and
flow; open, collaborative and integrated team of key players formed at the outset and added
to as the stakeholder group grows. The management/leadership ethos of IPD is from
outside-in: act on the system to improve it for customers (helped by those working in it),
unlike traditional top-down: manage the contract, manage the programme, manage budgets
and manage people (AIA, 2007).

2.3 Project management and Design management


The project manager is essential for the successful delivery of a construction project and has
the overall responsibility for the planning, co-ordination and control of a project from
conception to completion. The project manager takes on multiple roles in projects. Project
management has several sub management layers like value management and team
management. Risk management and information management have a straight relation to the
IDDS approach as has been discussed in previous articles (Azhar 2011).
The key idea for BIM enabled design process is to produce valuable information for decision
making. This is done with help of BIM functions: BIM based analyses, simulations and
visualizations, and it is a key task of design management. The whole design workflow will
actually be managed with help of information. This leads to adapting the key theories of
knowledge management for the project level, for change management and using BIM as
instrument rather than a tool (Mkelinen et al. 2012).
The design manager takes multiple roles as well as. The essence is not only to track the
design tasks but to use means and mechanisms available to create social interaction,
influencing and stimulating the team members, even challenge them to create innovative
solutions (Rekola et al. 2012). Tatum (2009) argues that leading and implementing
integration requires a collaborative approach and special skills. The three levels of
champions needed are (1) executive champion (typically project managers) who creates the
supportive organization culture and structure; (2) commercial champion (business
managers) and (3) technical champion (project engineers). All of them foster integration by
providing active advocacy, obviating potential problems, solving those that occur, and
always insisting on increased integration when it helps satisfying project objectives.
In addition to project organisational roles, one way to understand design management is
through design concepts. In order to answer to the trends and objectives of the society
general design concepts have been developed. These concepts can be upgraded to service
concepts, which normally highlight several values of design and delivery.

2.4 Managership and Leadership Behaviours


The present leadership and management responsibilities in the infrastructure sector are
based on generally proven and known practices, organizational hierarchies and
professionalism. Actual formal management and leadership roles, practices or task lists have
not been recognized as a general guide for the business. The responsibilities of designers
are described loosely in the building regulations. In our study we have raised the issue of

117

leadership both as behaviour of a leader and as a competence to be held in IDDS transition


process in order to achieve understanding of use of BIM. Leadership behaviours are
structured by typologies (Pearce et al. 2003), but in practice they are used also together.
In our study we are interested in leadership behaviours and actions and their output in two
ways: firstly, in relation to a certain project action situation and to managers roles; secondly,
in relation to industry wide BIM adoption and implementation strategies.

3. Empirical research
3.1 Case study methodology and results
The partners of on-going InfraFINBIM project form a good target group as they all have
personal experience of working with BIM in pilot cases and they share an ambition for BIM
enabled re-engineering. InfraFINBIM portfolio of pilot projects forms a favourable innovation
platform, where 25 different pilot cases act as development and testing environment.
Furthermore, as the use of BIM is in its early stages of an industry-wide adoption, the
stakeholders have strong susceptibility to notice details in project level culture and change of
practices due to BIM implementation. Therefore the personal statements of the experienced
managers interviewed are treated as phronetic intelligence (Flyvbjerg et al. 2012) in the
analyses. Seven design managers from six consulting companies and three clients project
managers were involved in the two round interviews, where the objective was to identify
management and leadership contents and relevance of the pre-chosen approaches (Fig. 1).
The semi-structured short interviews were performed in two rounds. In the first round the
managers were asked four general questions on project level management and leadership.
The first two questions were related to identification of the present leadership roles and
management tasks and the need for changing those. All the interviewees identified similar
roles on project level: project supervision (client), project manager, principal designer,
experts of different disciplines, design management etc. Depending on the size of the project
usually chief designer takes more tasks and roles especially in small, routine projects.
The interviewees believed that the current management methods and practices will remain
unchanged even though the design work itself becomes more BIM based: The roles of the
various parties do not change (administrative and technical management) but the tasks are
developing to support more model based design. New role of BIM coordinator was expected
especially in the projects where the coordination models are necessary. When the BIM
based design becomes more common, a BIM quality supervisors role might arise. The
quality controllers role can be performed either as a design task or by an independent
auditor. The participants emphasized the importance of the co-ordination of the project
consortium as well as general guidelines and supervision to guarantee the continuity of
design from one phase to another.
We asked participants how BIM based design and working method have changed the
decision-making process. Most of the companies had positive experiences in the use of BIM
for visual models during project progress meetings with the client. Models play an integral
part in the decision-making process in connection to a certain design solution on a practical

118

level. The quality of the solutions improves when design issues are considered together.
Similarly, the conflicts of the different design disciplines are better detected, commenting
between parties is more active and presentations to stakeholder groups like end-users and
politicians are better facilitated. The interviewees stressed that although visualization has
great importance, the BIM model is not used as visualization model only but as a tool that
allows easy access to information and helps co-creating more valuable solutions.
Finally, the interviewees were asked to describe what BIM means to them with four claims:
(a) BIM is automating information and data, (b) BIM is communication and information tool,
(c) BIM is decision-making tool and (d) BIM is a new design concept. All interviewees agreed
that at the moment BIM is a communication tool automating information and data (a and b).
The benefits are improved validity and reliability of information. They also agreed that data
transfer and compatibility issues can be resolved in time. BIM as a decision-making tool was
considered more a target or vision for future which is possible to achieve when the use of
BIM-models is part of the daily routine. As emphasised by the owner, models were expected
to bring clarity and support to decision-making processes in the infrastructure property
management. BIM is not a new concept in construction industry according the interviewees.
Most of the participants had noticed that BIM based work will require behavioural changes.
In the second round informal material on leadership practices and methods were delivered to
interviewees and they were asked to identify the leadership styles and behaviours in their
own working environment and roles. Many of the leadership styles were recognised in their
own organisations and in connection to changes in practices. At the moment the project
environment does not support any other styles or behaviours than the administrative and
technical management roles and directive leadership styles. However, the interviewees were
able to separate benefits and disadvantages between different leadership styles and their
usage in different situations. In particular, the participants noticed that they were working
according to certain management style without questioning or any estimation whether the
management method is correct and fits for the purpose. In general the current management
practice was rated to be good enough. More innovative and supportive leadership could be
exploited in demanding projects in order to achieve better end results.
The last exercise of the study focused on the development and maturity of BIM skills. Four
project managers of recent BIM pilot projects, where the target had been to test boundaries
of BIM collaborative practises and design model content were interviewed. The project
managers were asked to estimate the level of skill maturity of the BIM designer and group
design manager of their own company. The results show that neither of the skill maturity
levels rise very high (Table 1). Leading companies in BIM based design give clearly better
scores themselves than those who have not adopted BIM in their common design practices.
Table 1: Skill levels observed in pilot cases with scale 1 (poor) to 6 (authorised) skill
levels explained in Table 2
Pilot case

Level of BIM designer skills

Level of group design manager

#1

3 (good)

3 (good)

#2

2 (satisfactory)

2 (satisfactory)

#3

3 (good)

2 (satisfactory)

#4

4 (very good)

3 (good)

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3.2 Analyses
The final analyses were done by the research group, when the predicted approaches
connected to management and leadership was matched to new findings from observations
and interviews (Fig. 2). As a summary we conclude that interviewees related management
roles and managerial behaviours to most of the levels of IDDS managerial pyramid. The
relationship between procurement and management issues was not as clear.

Behaviours:
Managership and Leadership

Design Management
Project Management

Continuous training
fostering leadership skills.

New management roles


and practises as part of
BIM projects.

BIM contractual models


Integrated / Participatory Procurement
IDDS

Strategic knowledge
management, VBE

BIM

Adaptation Strategy
Vision: IDDS/BIM transition

IDDS procurement and


BIM guidelines.
Contractual models
supporting integration and
collaboration.

Strategies for BIM based


business in line with
shared business benefits.

Figure 2: Summary of the interviews and analyses as updated managerial pyramid


Findings from the interviews were expanded with our observations from management styles
used in pilot projects. These observations were done by researches that had followed the
pilot projects in the interaction events of design meetings or in public presentation events.
The observations were upgraded into management roles and description of the levels of
skills as part of BIM project maturity matrix with recommended leadership styles to be
exploited (Table 2). Seven roles with 2-3 leadership styles were defined and identified in
connection to the main objectives of each role.
During analyses some examples of the management procedures were defined including
preferences of leadership styles to be exploited for their supportive effect on output or
change. (1) Support adaptation: ensure that all stakeholders understand the new process
where creation of valuable information is in the key role. Leadership styles to be
encouraged: directive and transformational. (2) Create a BIM Plan for the project. Create the
descriptions of BIM actions together with the team and schedule them. BIM focus area is a
value adding, pre-planned and described task or row of tasks executed in a certain phase
during the process with defined BIM actions. The task description include definitions of
responsibilities, objectives and roles: Together with BIM function the BIM action method

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describes what is done, with which model and who are involved in executing action.
Leadership styles to be encouraged: participatory, use people-oriented and task-oriented
together. (3) Strive for value. The overall aim for a BIM focus area is to provide valuable
information to decision making. Management focus should be in striving for value with help
of BIM in project level and support and develop new IDDS practices on company level.
Leadership styles to be encourages (a) in planning: transformational and empowering; (b) in
design and delivery: transactional and empowering.
Table 2: The analyses of matching leadership styles with the objectives of project
level roles shown in a maturity matrix table
Integration
champion

BIM expert
Coordinator
Technical
champion

BIM
Modeller,
Designer

Participatory
and Transformational

Taskoriented
and Participatory

Design
group
manager,
Chief
designer
Empowering and
Participatory

Project
manager
(consultant
of owner)

Directive
and
Participatory

Project
management of the
owner

Supervision of
design
disciplines
(owner)

Transactional
and Participatory

Task
oriented
and
Servant
leadership

Leadership
styles to be
exploit in
challenging
projects
(levels 4-6)

Servant and
Transformational
and
Participatory
leadership

Skill level 6
authorised

Authorized qualifications with wide experience in challenging IDDS/BIM project environments.


Very high customer satisfaction.

Skill level 5
excellent

Strong experience and qualifications with wide competence on IDDS/BIM integrated and value
based practices. Project control, guidance, problem solving and people leadership is executed
well to support project goals without heavy work load to the team. High customer satisfaction.

Skill level 4
very good

Strong capabilities and experience in integrated BIM practices with references on successful
project and satisfied management. Strong customer satisfaction.

Skill level 3
good

Good capabilities and competency on integrated BIM practices. Some experience on use of BIM
functions on task level in project environment.

Skill level 2
satisfactory

Basic capabilities and understanding of key concepts exists on BIM practises. Little experience
in BIM based projects.

Skill level 1
poor

Poor capability on BIM practices. Negative or suspicious attitude to BIM benefits. No experience
in BIM based projects.

4. Conclusion
Results were diverse in the area of leadership styles usage. One reason for this is the short
history of BIM based project practice in the field of infrastructure development and
construction in Finland. It was clear that management and leadership skills are both needed.
Especially when working in a BIM process that is still new for the stakeholders and either
adaptation and nor implementation is fully finalized. Results from the analyses indicates that
when defining the roles and skills needed in integrated design and delivery the importance of
leadership styles and tactical use of behaviours have a place and meaning. Therefore we
recommend that the guidelines describing the essence of BIM project management should
include the essence of BIM leadership. As the roles of the project level business
environment are going through a change process it is possible to develop supportive
leadership behaviours as personal managerial skills. Leadership skills can be consciously

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developed - as any needed skill - in similar ways than strong leaders on organisation level
can be fostered (Gill, 2012). Results of BIM skill maturity development are greatly influenced
by how well the company has adopted a BIM based design strategy as its own way of action.
The benefits of leadership are direct when building up IDDS/BIM maturity and capability
levels. When catching up with the knowledge of leadership theories and getting more familiar
with leadership practices and the orientation of each style, it is possible to accelerate (a) BIM
adoption (b) BIM maturity and capabilities, and (c) value-adding actions in the process. As
leadership is a key component to be introduced and discussed in BIM managerial guidelines.
The results of our study support the idea that issues of management and strong leadership
should be emphasized more in procurement and delivery models and project organizational
and contractual structures. Management principles should be communicated through
requirements and guidelines as they are part of design collaboration culture in transition.
Infrastructure development and construction projects are complex and high value large
projects which should be lead systemically with strong project management. Intense city
structures with connection to building design and construction form even extra challenges. In
this kind of district level projects there is (a) a need for multidisciplinary management
systems to support decision making and (b) a need for strong management and leadership
in order to motivate many disciplines evolved to integrated design practices. Further
research is needed to show if there is a certain project quality level which cannot be reached
without strong leadership actions. It is highly evitable that the need for leadership actions
and use of variety of styles is higher when stakeholders move further in IDDS/BIM maturity.

5. References
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(2007)
Integrated
Project
Delivery:
A
guide.
(Available
http://www.aia.org/contractdocs/AIAS077630 [accessed on 23/11/2012]).

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demystified: does it make sense to adopt BIM? Journal of Managing projects and Business,
Vol. 2, 2009.
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Challenges for the AEC Industry, Leadership and Management in Engineering, 11(3), 2011.
BuildingSMART Finland (2012) Common BIM Requirements 2012 (available online
http://www.en.buildingsmart.kotisivukone.com/3 [accessed on 23/11/2012]).
Deutsch R (2011) BIM and Integrated Design: Strategies for Architectural Practice, the
American Institute of Architects, 2011.
Flyvbjerg B, Landman T and Schram S (eds.) (2012) Real Social Science, applied
phronesis, Cambridge University Press, UK, 2012.

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Vol.3, 2002.
Gill R (2012) Theory and practise of leadership, SAGE publications, London, 2012.
Lichtig W A (2006) The Integrated Agreement for Lean Project Delivery. Journal of
Construction Lawyer, Vol. 26, 2006.
Kotter J P (2001) What Leaders really Do, Harvard Business Review, December 2001.
Matthews O and Howell G (2005) Integrated project delivery An example of relational
contracting, Lean Construction Journal, Vol. 2 #1, 2005.
Mkelinen T, Hyvrinen J, Peura J (2012) BIM practices and challenges framed an
approach to systemic change management, in eWork and eBusiness in Architecture,
Engineering and Construction, Proceedings of ECPPM, 2012.
Pearce C L, Sims Jr H P, Cox J F, Ball G, Schnell E, Smith K A and Trevino L (2003)
Transactors, transformers and beyond: A multi-method development of a theoretical
typology of leadership, Journal of Management Development, Vol. 22, 2003.
Pearce C L (2004) The future of leadership, Combining vertical and shared leadership to
transform knowledge work, The Academy of Management Executive, Vol.18, 2004.
Raisbeck P, Millie R and Maher A (2010) Assessing integrated project delivery: a
comparative analysis of IPD and alliance contracting procurement routes, in: Egbu, C. (Ed)
Proc 26th Annual ARCOM Conference proceedings, 2010.
Rekola M, Mkelinen T and Hkkinen T (2012) The role of design management in
sustainable building process, Journal of Architectural Engineering and Design Management,
Vol.8, 2012.
Smith D K and Tarrif M (2009) Building Information Modeling, A Strategic Implementation
Guide, Wiley & Sons, Inc. 2009.
Succar B (2009) Building information modelling framework: a research and delivery
foundation for industry stakeholders, Journal of Automation in Construction, Vol. 18, 2009.
Succar B (2010) The five components of BIM performance measurement, in: proceedings
of W096 special track 18th CIB world Building Congress (combined with W105), 2010.
Tatum C B (2009) Leading Project Integration, in: LEAD 2009 Conference proceedings,
2009.
Tiehallinto, 2002, Tiedon hallinnan visio ja strategia, Tieto-projekti (in Finnish,Road
administration information management vision and strategy).

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A framework for designing sustainable real estate


developments using Quadruple Net Value Analysis
and Building Information Modelling
Geoffrey Booth1,Mark J. Clayton2, Jongbum Kim3

Abstract
A decision-making framework for real estate development incorporating sustainable
principles and using Building Information Modelling (BIM) may enable developers to explore
real estate value in more comprehensive and profound ways than achievable through
conventional practice. The framework uses the concept of Quadruple Net Value Analysis to
structure evaluation of a project. Quadruple Net Value Analysis combines the triple bottom
line of sustainable development (economic, environmental, and social sustainability) with
sensory value that measure the appeal of the project with respect to sight, sound, touch,
taste and smell.
The framework is described from a conceptual vantage and several proof-of-concept
experiments of components of the software system are presented. The researchers envision
a parametric BIM as a medium for representing designs with 3D modelling, rendering and
animation, and the use of interoperable analysis tools to aid the developers and designers in
exploring the consequences of the scheme along quantitative and explicit measures.
Immersive visualization will help the users perform qualitative assessment of the sensory
aspects of the design. Experiments with the software and analytic techniques provide
evidence that the tools can enable rapid design of land and property development schemes,
automated analysis of the performance of the schemes, rapid alteration of a scheme
supporting what-if analysis, and sensory assessment in the immersive visualization
environment.
The Quadruple Net Value Analysis framework implemented in a computer platform should
enable a real estate developer to analyze a project proposal more holistically and more
rapidly, explore more options through what-if scenarios and reach a wide range of
empowered and unempowered stakeholders. A development can be designed not only to
fulfil the demands of the triple bottom line, but also to appeal at the sensory level to become
something that people want to preserve.
Keywords: land and property development, real estate development, immersive
visualization, sustainable development, decision support.
1

Associate Professor; Department of Landscape Architecture and Urban Planning; Texas A&M
University; College Station, TX 77843-3137 USA; gbooth@arch.tamu.edu
2
Professor; Department of Architecture; Texas A&M University; College Station, TX 77843-3137
USA; mark-clayton@tamu.edu
3
Graduate student, Department of Architecture; Texas A&M University; College Station, TX 778433137 USA; jongbum.kim.coa@gmail.com

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1. Introduction
We shape our natural, built and virtual environments and then these environments shape us.
Whether it is the clearing of the Amazon rainforest, the building of the worlds tallest building,
or the latest version of the video game Halo 4, this shaping of our environment touches our
lives and influences our experiences. In the mid to late 20th century, Lynch (1960); Alexander
(1977); and Relph (1976) equipped us with the tools and the phenomenological framework
to read and understand these elements and changes in our environment. The advent of
personal computing and the development of CAD, BIM and a range of other simulation
programs allow us to virtually design and model changes to our environment. Our research
investigates how to capture and apply both tacit and explicit knowledge and test the impact
and consequences that environmentally modifying actions would have on our lives.
The issue that interests us is how to increase the ability of real estate developers to design
successful and sustainable projects. Our research envisions a computer-based platform for
land and property development and design that enables the user to create and evaluate
schemes from a comprehensive viewpoint of sustainability. We are employing the concept of
Quadruple Net Value Analysis to assess a real estate and land development project along
economic, social and cultural, environmental, and sensory (perceptual) dimensions (Jerke,
2008). By using Building Information Modelling technology to create a data-rich 3D model of
an alternative scheme, we are able to analyze the scheme rapidly. Parametric modelling
capabilities allow us to alter the scheme rapidly, permitting the exploration and comparison
of many alternatives. An immersive visualization tool allows us to put people into the planned
development in an interactive visual simulation with a full field of vision and the ability to walk
or fly through the environment. The platform is intended to allow the user to base choices
upon not only quantitative analysis but also, through use of virtual reality tools, formerly tacit
knowledge that is now made explicit. We intend it to be a decision-support platform for real
estate and property development.
Although our research is still in an exploratory stage, we have conducted several
experiments to test feasibility and prove the concepts. Graduate student teams have
conducted Quadruple Net Value Analysis of sixteen land and property projects in Texas and
one in Chicago, Illinois. By preparing video presentations that incorporate narratives and
music audio tracks, we are able to explore filmmaking techniques for conveying tacit,
sensory dimensions of the projects. Another exploration has made use of BIM tools to test
rapid modelling of alternatives using parametric techniques and the automation of analysis
using software interoperability. These models have been introduced into the BIM CAVE
immersive visualization environment to test both the speed of transfer from the designers
modelling environment to the immersive visualization environment and the sensory presence
achieved. Finally, we are beginning a test study of our methods in the real world in
conjunction with a homebuilder who is developing a subdivision.

2. Sustainability and modelling


Although some real estate developers achieve enviable records of profitability, there remains
a significant amount of uncertainty in whether a project will be successful. Issues such as

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carbon footprint and energy efficiency, social benefits, and inclusiveness of stakeholders
both powerful and disadvantaged are leading to more complex definitions of success and
more complex regulation and approval criteria. Our research makes use of two relatively
new ideas in the hope of instigating profound change. Quadruple Net Value Analysis is a
comprehensive system for assessing the economic, social and cultural, environmental, and
sensory value that is created by real estate development. Building Information Modelling is a
powerful information technology for accelerating processes.

2.1 Sustainability
In 1983 Gro Harlem Brundtland, the former Prime Minister of Norway, was asked by the
Secretary-General of the United Nations to establish a World Commission on Environment
and Development. The commission report formulates the idea that Sustainable
Development is development that meets the needs of the present without compromising the
ability of future generations to meet their own needs (United Nations World Commission on
the Environment and Development, 1987). It further defines three interdependent elements:
Environmental sustainability involving the management and
consumption of the Earths renewal natural resources so as not to exceed
the rate at which they are renewed, and ensure that the absorptive capacity
of the natural environment to assimilate wastes should not be exceeded or
degraded. The extraction of non-renewable resources should be minimized.
Future degradation of the natural and man-made environment should be
avoided and existing degradation remediated;
Social sustainability relating to the cohesion of society and its ability to
work towards common goals. Meeting individual needs, such as those for
health and well-being, nutrition, shelter, education and cultural expression
are considered a priority; and,
Economic sustainability working in concert with environmental and social
sustainability to create and maintain robust economies that better meet the
needs of its citizens. (United Nations World Commission on the
Environment and Development, 1987).
This formulation is widely known as the triple bottom line of sustainable development. A
good sustainable development must not only be economically viable and profitable, it must
meet long term objectives of environmental stewardship and social progress.

2.2 Quadruple Net Value Analysis


While there is wide consensus that shaping our natural, built, and virtual environments has
economic, social and environmental consequences, there is a fourth important consequence
that is often overlooked: the sensory, perceptual aspect that greatly impacts the appeal of a
project. The sensory aspect focuses on how we perceive the environment in which we live
and how we sense and appraise change in both the physical and virtual environment.

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Apart from eating, breathing and sleeping the fourth thing humans do throughout our lives is
assess placebe it a room, a dwelling, a workplace, district or city. In doing this we rely on
all our sensessight, sound, smell, taste, and touch. Place-making is the essence of real
estate development value and community building. Places that are desirable to the senses
we reward with repeat visits and in so doing ascribe economic and social value and, to
varying degrees, environmental protection.
Dennis Jerke (2008) developed the conceptual framework of Quadruple Net Value Analysis
to measure the economic, social/cultural, environmental, and perceptual. The technique
uses a standard range of metrics that allows us to determine the attributes and performance
of real estate assets and allows us to distil the sustainability dividend that arises from their
conceptualization, design, delivery, activation, and management. It establishes, structures,
and makes explicit knowledge on projects that hitherto existed only in tacit form.
Jerkes original Quadruple Net Value Analysis model focussed only on the visual in its
perceptual category. Our research found this focus to be too narrow. We have expanded the
perceptual component to include all the senses: sight, sound, taste, touch, and smell.
Human experience and resonance of real estate assets rely on a rich combination of all five
senses.
These four dimensions can be further defined to allow the computation of a sustainability
dividend that measures the value of a project in a holistic manner (Booth, 2010). The
definition of the sustainability dividend is, the enhanced financial performance of real estate
asset/portfolios that arises from the application of environmental design, science, and
solutions to:
(i) increase the percentage of the tenants total occupancy cost that is paid to the
landlord as net rent; and,
(ii) groom existing assets, conceptualize, design and deliver new assets which cost less
to operate thereby achieving comparatively lower capitalization rates. (Booth,
2010)
Quadruple Net Value Analysis also allows us to better understand how costs and benefits
are spread among the different stakeholders in real estate developmentswhich include the
developer, owner, designers, constructors, regulators, government, tenants, neighbours, and
the public. Through the expansion of Jerkes original focus from only the visual element of
the perceptual component to embrace all five of the senses we are able to more accurately
read real estate projects; determine what attracts repeat visitation; and, begin replication in
computer modelling that will lead to refined economic, social and cultural, environmental and
sensory performance.

2.3 Immersive visualization


Immersive visualization (also referred to as virtual reality) has advanced from an
experimental technology to a commercial product category. The basic characteristics of an
immersive visualization system are a computer display that captures enough of the field of

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vision to achieve an illusion of reality, sufficient display speed so that the illusion of motion is
achieved, and interactive tools that enable the user to navigate and transform the display in
near real time. An early implementation was the CAVE (Audio-Visual Experience Automatic
Virtual Environment) (Cruz-Neira, et al 1992). We hypothesize that the assessment of
sensory aspects of a development project could be achieved through immersive visualization
technology.
Architectural projects have been portrayed in animations of 3D models. The animation of the
construction sequence as a so-called 4D model has achieved widespread adoption in
industry and is analyzed for effectiveness using numerous industrial cases (Hartmann, Gao
and Fischer, 2008). Mafty and Harty (2012) have employed a CAVE to study hospital patient
rooms from the architectural and construction viewpoints.

2.4 BIM
BIM has been described thoroughly in various books and references. General discussions of
the theory behind information modelling and its applications in architecture have been
presented (Eastman et al. 2008; Smith and Tardiff, 2009). Training texts describe how to use
tools such as the popular Autodesk Revit BIM authoring system (Vandezande, Read and
Krygiel, 2011). Various authors have emphasized the data modelling and computer science
perspectives for understanding BIM, the commercial products and how to use them in a
practical setting, and the human factors and transformation of design workflow in adopting
new integrated software systems.
For our discussion, it is important to emphasize software capabilities provided by BIM that
can be exploited to produce our concept of a decision-support platform for real estate and
property development. These can be summarized as modelling and visualization, rich
models, analysis and simulation, parameterization, and software extension.
BIM builds upon the capabilities long offered by Computer-Aided Design (CAD) software.
CAD has been widely used in architecture firms since the 1980s (Kemper, 1985) to provide
2D drafting and 3D modelling capabilities. Generation of photorealistic imagery and even
physically accurate lighting studies has been possible for many years. BIM provides all of the
capabilities of CAD so that the designer can create and depict a building of any shape and
complexity.
Although CAD systems are essentially graphic editors and visualization tools, BIM adds the
ability to create enriched models that associate non-graphic information with the elements in
the digital model, a concept often described as intelligent objects. While CAD systems
consist of tools for drawing lines, arcs, cubes, spheres and other geometric figures, BIM
systems provide tools for drawing walls, roofs, floors, windows, doors, and other
architectural components. The elements inserted into the model have non-graphic attributes
in addition to the geometric descriptions. A wall element may, for example, have a
construction type, an assembly definition that describes gypsum board, studs, insulation,
and sheathing, a materials cost per unit, an installation cost per unit, and thermal attributes.
While CAD models inherently suffer from a paucity of building description limited to the

128

geometric description, a BIM is more dense and rich in terms of the information expressed
about the building.
This rich and extensive building information can be extracted from the BIM to provide input
into analysis and simulation tools that can aid in the decision process. Building energy
simulation, airflow simulations, daylighting analysis, construction cost analysis, construction
scheduling analysis, structural performance and other kinds of analysis have all been
integrated with BIM, although these capabilities are not all fully commercialized.
Parameterization enables the rapid creation of complex forms and investigation of designs
using what if analysis. A BIM tool such as Autodesk Revit allows the user to adjust control
points for curves and shapes based upon formulas and computations. By changing the
parameters of an equation, a design can be flexed to alter the shape in subtle or dramatic
ways. Each variant may be analyzed and the variant with the best performance selected.
Closely related to parameterization is the concept of constraint modelling that permits the
software user to define limits upon dimensions between elements, enforcing such concepts
as symmetry, equal spacing, alignments, or offsets.
Autodesk Revit also provides an Application Programming Interface (API) that enables
someone with skills in software development to extend the software in profound ways. API
extensions may include complex geometric modelling, preparation of input to analysis
software, validation and verification of designs, or presentation of analysis output on the
geometric model.
These various capabilities appear sufficient to allow the implementation of a modelling,
analysis and simulation platform for land development. The API and parametric modelling
allow the creation of extensions to the software that enable rapid modelling and exploration
of design alternatives. Three-d modelling and visualization enable the portrayal of the design
alternative in an immersive visualization environment. The rich model and its integration with
analytic tools supports the decision process of the developers and designers.

3. Experiments
Our exploration of contemporary software tools from a theory standpoint suggests that they
are sufficient for developing a decision-support platform for real estate and property
development. We have conducted several experiments to test the capability of our methods
from a practical standpoint.

3.1 Case studies and video documentation


We hypothesize that computer-based modelling which combined visualization with auditory
elements has the potential to evoke the other three senses. Although ultimately, we hope to
integrate auditory cues in an immersive visualization environment, we have used filmmaking
as an intermediate step in the virtualization of real estate projects. In one ongoing
experiment, students have tested and refined the Quadruple Net Value Analysis method by
analyzing sixteen land and property projects in Texas and one in Chicago, Illinois.

129

Teams of graduate students conducted site investigation and research using each of the
economic, social and cultural, environmental, and sensory value criteria outlined in this
paper. A detailed written report was produced for each of the sixteen case study real estate
projects. Each team also prepared a video using filmmaking techniques such as combining
live footage with still images, panning and zooming on still images, dubbing a narrative onto
a visual track, and overdubbing an evocative music track. The videos are meant to express
and convey sensory aspects of the project.
An example of these films can be viewed at:
http://www.youtube.com/watch?v=8o_Megxg2fk
The video details the conceptualization of the project, identifies the component parts of the
design of the project that accentuate each of the five senses, and presents details on the
projects delivery, activation, and management (Sierra, 2011).
Students also used this approach in the interdisciplinary submissions made in the 2010,
2011, and 2012 ULIthe Urban Land Institute HINES competition submissions.

3.2 Seed BIM


To explore the power of BIM to enable a designer to design quickly a building and assess
the design with analysis tools, a series of studies have been conducted that resulted in the
concept of Signature Architecture Franchising (Clayton et al. 2012). These studies have
used Autodesk Revit software for BIM authoring to enable student designers to model a
building in a matter of hours. The process depends upon use of template files, referred to as
a seed BIM, that collect the graphic presentation style, the sheet layout, the components to
express a design style, and the use of constraint modelling to enforce dimensional and
proportional requirements. Depending on the skill of the designer, schematic design of a
modest house can be accomplished in as short as four hours of work and modifications can
be made in a matter of minutes. Further work is attempting to accelerate the process and
include the creation of construction documents.

3.3 BIM CAVE


Other research at our institution has produced an example of a BIM CAVE that achieves an
immersive visualization environment by using popular commercial software for BIM coupled
with multiple displays and high-powered commodity computers (Ganapathi Subramanian,
2012). To test the interoperability between our design tools of Autodesk Revit and the BIM
CAVE, seven house models were collected into one immersive visualization model and
viewed in the BIM CAVE. The modification of the BIM files for use in the CAVE required no
more than five minutes of effort, demonstrating that it is feasible to employ immersive
visualization in a design process that involves iteratively viewing a model, and changing it.
Students with minimal training are able to navigate the models in the BIM CAVE. Future
studies will explore the ability of extending the BIM CAVE to support tacit, sensory
evaluation of projects.

130

3.4 Parametric Urban Modelling


Another experiment investigates parametric urban model development using BIM to enable
stakeholders to explore rapidly the implications of urban developments. A software prototype
is under development using the Autodesk Revit API. The first step of our implementation is
creation of a parametric urban model that can represent a set of urban design components,
such as open spaces, roads, pedestrians, properties, buildings, and parking structures, and
representation of the associations among urban components using parametric modelling in
BIM. With the parametric modelling approach, urban models can store any information as
parameters, elements of urban models may be generated according to any parametric
values, and relationships among parameters can be demonstrated in the urban model. As
such, our prototype enables real-time design changes as users manipulate the model data
using parameters, which offers a degree of flexibility for testing multiple development
scenarios.
The second implementation step is creating analytical applications using Application
Programming Interface (API) and Object Oriented Programming (OOP) in C#. OOP is an
advanced software development approach that allows for rapid software development, high
degree of maintainability, and high performance with a formal set of rules for creating and
operating objects (Cox, 1986; Pinson, 1988). API allows users to access the model data,
generate and edit model elements, create customized functions and user interfaces, perform
analysis, as well as produce documentations. With API and OOP BIM platform provides,
users will be able to modify building information in parametric urban model and link such
model information to external databases and calculation engines for performance
assessments.
The parametric urban model in BIM and our OOP applications will enable iterations of
design, real-time evaluations, and interactive redesign by applying a set of model
parameters. It will allow design optimization for a set of evaluation criteria throughout the life
cycle.

3.5 REAL PROJECTS


To guide further development of our concepts, we have embarked upon a test case of a real
development in partnership with a commercial homebuilder and land developer as part of the
REAL PROJECTS educational initiative. Pursuant to a grant made by the College of
Architecture, Master of Land and Property Development and Master of Landscape
Architecture students are currently undertaking a Quadruple Net Value analysis of the
Brazos Valley Affordable Housing Corporations Falls Creek Ranch land subdivision to
ascertain how the projects sustainability dividend can be enhanced. Using the BIM platform,
Department of Architecture students are conceptualizing, designing, and building a new
prototype home. In future semesters, the design process will be supported by a seed BIM,
immersive visualization system, and analysis software.

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3.6 Quadruple Net Value Analysis


While our previous studies using Quadruple Net Value Analysis, we believe that the
technique can be scaled to all types of real estate development, including the residential
scale effort in the REAL PROJECTS initiative. Table 1 presents important categories for
achieving a thorough and effective analysis. Some of the metrics are already supported by
analysis tools or simulation software. We are in the process of developing standard
procedures and new software to implement additional metrics.
Table 1. Factors used in Quadruple Net Value Analysis.

Economic
Return on investment

Profitability, occupancy revenue to investor.

Tax revenue increases


Increased employment
Economic and infrastructure
enhancement
Cost avoidance
Insurance and legal costs

Increased assessed value, sales tax revenue


Construction employment, long-term employment
Community advantage and improvements
Energy, maintenance, and transportation cost
Fire, flood, health, lawsuits

Environmental
Waste reduction
Carbon reduction
Water conservation
Biodiversity
Indoor air quality and health impacts
Food production
Shelter

Construction waste, landfill waste, and sewage


Energy use, embodied energy, landscape
Rainwater capture, storm water management, flood
reduction
Ecological preservation, native plants, wildlife
Health, walkability, nature, greenways, paths
Gardens, farmland
Structural integrity, climate protection

Social
Security and safety
Recreation and community interaction
Private space
Diversity
Convenience

Crime prevention, injury avoidance


Parkland, public gatherings
Contemplation, spirituality
Racial, socio-economic, cultural
Shopping, transportation, schools, place of
employment

Sensory
Sight
Sound
Taste
Touch
Smell
Temperature and thermal

Architectural beauty, natural beauty


Nature, nuisance
Associations
Texture, material
Planting, materials, attractions, nuisance
Temperature, humidity, insolation and shade, wind

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4. Platform
From our experiments, we suggest a computational platform for supporting the land and
property development process. The activity of creating candidate scheme can be aided by
3D modelling within a parametric BIM software system. The analysis activity produces
scores for the scheme from each of the dimensions of the Quadruple Net Value. Quantitative
analyses of economic, environmental and social dimensions will be computed using software
tools that are interoperable with the BIM and can be done largely in an automated way. An
immersive visualization system will be used to assess the sensory effectiveness of the
scheme. Finally a scheme may be selected for execution based upon comparison of the
sustainability dividend of the multiple candidates. The process and the tools are illustrated in
Figure 1.

5. Conclusions and next steps


We conclude that a framework for Quadruple Net Value analysis of real estate development
projects using a modelling system for rapid creation of designs, analysis tools that are
interoperable with the modelling environment, and immersive visualization for sensory
assessment is feasible with modest enhancements to current technology. The capabilities of
BIM to provide modelling and visualization, rich models, analysis and simulation,
parameterization, and software extension all appear sufficiently robust to allow us to proceed
with development of the envisioned platform.
Future work will implement a computer-based research testbed using commodity hardware
and software. Research will develop custom software that integrates with the BIM tool to
facilitate interoperability to analysis tools. Students will be trained in the theory and
technique of using the testbed. Empirical studies in our laboratory will test whether the

Figure 1. Platform for land and property development.

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testbed enables better, more sustainable land and property development projects.
The goal of our research is to produce developments that will not only be profitable, but also
will express good citizenship and have lasting appeal. They will be sustainable not only
because they meet technical criteria, but also because people want them to be preserved.

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Affordances of Building Information Modeling in


Construction: A Sequential Analysis
Christoph Merschbrock1
Abstract
Introducing Building Information Modeling (BIM) systems in construction workplaces
requires changes to well-established design routines and practices. This paper analyzes
BIM-based design activities in a contemporary construction project in order to identify how
design professionals have adjusted their practices and what users can accomplish with the
new technology. Based on interviews with members from different design professions, a
sequential analysis technique was applied to study design routines based on BIM artifacts.
The findings indicate that BIMs cooperative affordances, such as its embedded work
sharing functionality, were not enacted in practice. Moreover, the systems used did not
provide support functionality to inform users in which context the production and
coordination technology should be applied. In addition, infrastructure functionality allowing
users to transfer knowledge, skills or methods to other projects or planning situations could
not be identified. Last, the systems applied in our case did not afford users to store or house
information within a device. We found that actors at early project stages had a greater
degree of freedom when it came to making use of their design tool affordances than actors
working at later project stages. Thus, we argue for the need to focus managerial attention at
the choice of design technologies and the enactment of affordances at early project stages.
Our findings illustrate weaknesses in existing practice and highlight possible improvements.
Keywords: affordances, sequential analysis, digital design, inter-organizational
collaboration, building information modeling

1. Introduction
In recent years, the construction industry has embraced the use of information and
communication technology (ICT) in its operations. Construction firms adopt technological
innovations because they seek competitive advantage, want to resolve process related
problems, are forced by their external environment to implement new technologies, or seek
to improve collaboration and knowledge exchange with others (Bossink, 2004). Virtual
modeling technologies, frequently referred to as Building Information Modeling (BIM),
constitute core technologies for improving the process of construction. Examples of these
technologies include applications for surface and solid geometry modeling, model-based
drawing generation, 3D visualization, 3D animation and 3D schematic design. Anticipated
benefits of BIM include performance gains, increased clarity in information sharing and

PhD Research fellow; Department of Information Systems; University of Agder; Service Box 422,
4604 Kristiansand, Norway; christoph.merschbrock@uia.no

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reduction of errors in construction design (Baxter and Berente, 2010). Motivated by these
prospective benefits many design offices have replaced their traditional two-dimensional
design systems by BIM technology (Rivard, 2004). However, despite an increasing uptake of
BIM, scholars report that the industry still misses out on many crucial advantages the
technology has to offer (Ahmad and Sein, 2008, Neff et al., 2010). The industry focus on
enhancing existing processes rather than changing the way of doing business hinders them
from taking advantage of BIM technology. In this respect, construction professionals would
need to improve the management of ICT and use technological innovations such as BIM as
strategic organizational assets (Ahmad and Sein, 2008). A recent literature review
recommended further research into the relationship of BIMs functional affordance and its
human agency (Merschbrock and Munkvold, 2012). Functional affordances are defined as
the possibilities for goal-oriented action afforded to specified user groups by technical
objects (Markus and Silver, 2008, p.622). White (2011) argues for the need to conduct
further theoretical and empirical work to understand digital infrastructure in practice by
focusing on how different professions structure their interaction with the integrated software.
Our research follows up on these calls by exploring how BIM is currently used and what BIM
technology affords its users in construction projects. Based on our findings we identify areas
in need for managerial attention. Thus, our research is guided by the following question:
How can we explore BIMs current use and affordances in construction design, to identify
challenges and suggest improvements?
To address this question we present the results of a case study conducted of a building
construction project in Norway. To analyze our data we conduct a sequential analysis
(Gaskin et al., 2010) of the design activities in the project. Based on this analysis we develop
an understanding of the areas in need for further managerial attention. The intended
contribution of this paper is twofold: First, we argue that research based on a sequential
analysis can broaden the theoretical understanding of activities and their variations in digital
construction design. Second, the practical contribution of the study is to showcase how
sequential analysis can be of use to identify required changes to ICT management useful to
improve current design practice. The organization of the paper is as follows: Section two
presents the sequential analysis perspective, section three presents the research
methodology, section four presents the data analysis, followed by the discussion and
conclusion.

2. Analytical Perspective
The study reported in this article can be positioned within the current research stream on
BIMs impact on social and organizational practices in construction projects (e.g., Gal et al.,
2008, Harty and Whyte, 2010, Whyte and Lobo, 2010). This work reports persistent
challenges to the successful deployment of BIM rooted in the industry and its established
way of working (the projects mode of organizing, contracts, fees and delays, etc.). Our study
is based on the perspective of sequential analysis. Sequential analysis can be defined as an
effort in which sequences of human activity, such as work processes are analyzed using
time series (Gaskin et al., 2010). Sequential analysis is an analytical perspective widely used
in disciplines such as engineering, economics and medicine (Lai, 2001). Further, this
perspective has been deployed to analyze sequences of human activity in urban

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transportation (Wilson, 2001). Sequential analysis has also received attention by


researchers interested in understanding routines and activity in digital design (Gaskin et al.,
2010). Sequential analysis is a fruitful lens to identify variations and compositions of routines
in design. For example, Gaskin et al. (2011) studied and compared digital design routines
across several industries, i.e. a car manufacturer, a semiconductor manufacturer, a
mechanical, engineering and plumbing contractor (MEP) and a manufacturing company
producing hoses. They found that organizational context has an effect on digital design
routines and their variation. Gaskin et al. (2010) suggested a specific methodology for
encoding and analyzing routine composition in digital design, based on three steps: (1)
determine sample and collect field data; (2) encode data into a lexical model of routine which
serves as an alphabet to characterize elements of each design task (ibid. p.3); (3)
analyze data. Thus far, Gaskins work draws from a rather limited empirical base and he
recommends researchers to analyze design practice in further contexts.
Gaskin et al. (2010) suggest a lexical model consisting of five key elements useful to encode
design routines in project based organizations. These elements are: activities [which] are
comprised of actors engaged with tools that afford those actors the opportunity to produce
design objects (ibid, p.2). Gaskin et al. here adopt Markus and Silvers (2008) definition of
functional affordance, as presented in section 1. An overview of the lexical model is
presented in Table 1.
Table 1: Lexical model of design routines (adopted from Gaskin et al., 2010)
Routine element
Activities
Actors
Tools
Affordances (1-8):
(1) representation
(2) analysis
(3) transformation
(4) control
(5) cooperative
(6) support
(7) infrastructure
(8) store
Object

Definition
Specific design task undertaken by actors
Individual or organization performing the task in question
Digital or physical tool used to perform an activity
Defines what an actor can perform with the tools used
functionality enabling users to define or change a description of a design object
functionality enabling users to explore, simulate, or evaluate alternate representations
or models of objects
functionality to execute a significant planning or design task
functionality enabling the user to plan for or enforce rules, priorities or policies
governing or restricting the design process
enables users to exchange information with others
functionality to inform users in which context production and coordination technology
will be applied
functionality to transport knowledge, skills or methods to other projects or planning
situations
functionality allowing information to be housed within a device
The digital or physical outcome of the design activity

Gaskin et al. (2010) developed their view on affordances including eight sub categories
based on typologies reported in literature (e.g. Leonardi and Barley, 2008; Henderson and
Cooprider, 1994), except for the store affordance which they introduced themselves. Gaskin
et al. (2010) argue that their framework is limited in that its more concerned with
composition of design routines then their exact sequence (p. 6). We address this challenge
by classifying the identified routines based on a sequential typology for construction design
activities proposed by Evuomwan and Anumba (1998). The eight affordances proposed by
Gaskin et al. (2010) are considered a good fit to address the research aim of our study, as
they are designed to describe the different ways in which digital design tools such as BIM
are applied by industry actors.

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3. Methodology
The case study methodology was deployed since it allows the investigation of "sticky,
practice based problems where the experiences of the actors are important and the context
of action is critical" (Benbasat et al., 1987, p.370). The case project was selected based on
three criteria 1) the project participants had to resemble a typical project constellation in the
industry (clients, architects, engineers, contractors); 2) the design had to be completed at the
time of data collection; 3) BIM technology had to be deployed to some extent in construction
design. The setting of our case study is the design and construction of a library and cultural
center in southern Norway. The project comprises the construction of a library including a
caf, meeting places and administrative areas. The buildings gross floor area is 1938 m2.
The buildings wooden structure consists of 27 ribs made of prefabricated glue-laminated
timber elements and computer numerical control (CNC) cut plywood boards. In the period
from April to May 2012, we conducted nine semi-structured interviews with professionals
involved in the design and construction of the project. Semi-structured interviews were
chosen as means for data collection as they allow for understanding the experiences from
various practitioners using modeling technology in their daily work practice. Three of the
interviews were conducted via Skype due to the firms geographical locations in distant
regions of Norway, while the rest of the interviews were conducted face-to-face at the
companies. Each interview lasted for about one hour. The interview strategy chosen allowed
us to capture the whole design interaction in depth. The interviewees had the following
professional roles: design manager (engineering); structural engineer; electrical engineer;
fire-protection designer; massive-wood builder (project manager); glue-lime builder (project
manager); clients representative (municipality); architect and general contractor (project
manager). The authors civil engineering background comprising both university level
education and work experience helped to minimize potential social dissonance between
interviewer and respondents. The interviews were recorded, transcribed and coded in NVivo
9 in order to identify activities, actors, tools, affordances and design objects comprising the
design routines under study (Table 1).

4. Analysis
The analysis in this paper is guided by the lexical model introduced in Table 1. We present
our aggregated data on the case projects design routines and discuss how these were
composed. An overview of our findings is presented in Table 2. The routines presented in
Table 2 and in the following paragraphs are arranged in a temporal sequence taking into
account their occurrences in the process chain. The proposed sequential stages are defined
based on Evbuomwan and Anumbas (1998) typology:
Negotiation: client requirements processing; preliminary conceptual design; design of
schematics
Generation: analysis and detailed design; design documentation
Execution: construction planning
Routines labeled as negotiation took place at initial project stages, activities labeled
generation took place in the mid-stages, and all activities labeled with execution took place
in the late stages of the projects design.

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Table 2: BIM design routines in the Library Case


Activity

Actor

Negotiation
Early-stage
design

Architect
Client

Tool

Affordance

Architectural BIM software

Transformation
Representation
Cooperative*
Transformation
Representation
Transformation
Representation
Transformation
Representation
Cooperative*
Cooperative
Transformation
Representation
Cooperative*
Analysis

Sketching software
Rendering software
Generation
Architectural
design

Architect

Generation
Structural
design

Structural
Engineer

Architectural BIM software

Model viewer software


Structural BIM software

Structural calculation
software
Model viewer software
Model checker software
Generation
Fireprotection
design
Generation
HVAC
design
Generation
Electrical
design

Execution
Workshop
design

Fireprotection
engineer

2D CAD software

HVAC
designer

Computational Fluid
Dynamics (CFD) software
Mechanical engineering
BIM software

Electrical
engineer

Electrical engineering BIM


software

Glue lime
manufacturer

Execution
Workshop
design

Massive
wood
manufacturer

Execution
Assembly
planning

General
contractor

Electrical dimensioning
software
2D CAD software

3D CAD / CAM solution for


timber building
3D CAD / CAM solution for
timber building

2D CAD software

Model viewer software


*functional affordance has not been enacted

Cooperative
Control
Transformation
Representation
Analysis
Transformation
Representation
Transformation
Representation
Cooperative*
Analysis
Transformation
Representation
Cooperative
Cooperative
Transformation
Representation
Cooperative

Transformation
Representation
Cooperative
Cooperative

Object
3D BIM model
2D paper drawing set
3D snapshots taken of the
BIM model
3D photo realistic rendered
surface model
3D architectural BIM model
3D open standard IFC model
2D paper drawings
View of 3D open IFC files
3D structural BIM model
3D open standard IFC model
2D paper drawings
Structural strength
simulations
View of 3D open IFC files
Combination of 3D open IFC
files for clash detection
2D paper drawing set
Fire growth simulation
3D HVAC BIM model
3D open IFC model
2D paper drawings
3D electrical BIM model
3D open IFC model
2D paper drawings
Electrical dimensioning
simulation
2D paper shop drawings
(glue-lime beams)
View of full-fledged 3D files
2D shop drawings
Bill of materials
Computer Numerical Control
(CNC)-data
View of full-fledged 3D files
2D Site-layout drawings
2D assembly drawings
View of 3D open IFC files

Early-stage design (Negotiation) was the first in a sequence of activities undertaken to


accomplish the design. In close collaboration with the client, the architect developed an
understanding of what the future building should be like. The architect visualized his ideas
and presented them in digital and physical models, drawings and sketches. The digital
design tools used in this routine were architectural BIM software, sketching software and
rendering software. The architectural BIM software had the functional affordance to
transform, represent and cooperate based on virtual BIM models. The architect used BIM
software to develop the buildings outer shape and the buildings conceptual layout, thus, he
made use of BIMs transformational affordance. Further, he deployed the system to
represent his design ideas in form of 3D models and 2D paper drawings to the client. The 3D

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models, projected on a screen, served as a basis for discussion at meetings and the 2D
paper drawings were handed over to the client. The architect did not deploy BIMs
embedded cooperative work sharing functionality at this stage of the project. The second
ICT tool deployed in early stage design was sketching software. This software served as a
complimentary tool to the main BIM system in that it allowed the architect to quickly create
snapshots and sketches depicting certain details of the building, thus its transformational
and representational affordances were enacted in practice. In addition, the architect
deployed advanced rendering software to create photo-realistic surface models of the
building. The surface models made it possible for the architect to create 3D geometric
elements signifying the skin of the building. Thus, the architect created several different
architectural models by using three digital modeling applications in early design.
Architectural design (Generation) was the next activity studied. The main ICT tools
deployed by the architect to develop the detailed architectural design were architectural BIM
software and Model viewer software. The BIM software served as a tool to create 3D
architectural models and at the same time to produce 2D paper drawing sets ergo BIMs
transformational affordance to create a significant planning task and its representational
affordance to define design objects were enacted. In addition, the software was used to
create open standard IFC files of the architectural model which were used to exchange
modeling data with other project partners. The model viewer software provided a cooperative
affordance, serving as a common environment in which the IFC files created by other
designers could be viewed.
We continue by discussing four engineering design activities namely: Structural, Fireprotection, HVAC and Electrical design (Generation). The reason for discussing these
activities together is that all these engineering services were provided by the same firm. In
terms of sequence all of these activities took place concurrently. First of all, we found that
the structural, electrical and fire protection engineers all used engineering systems having
analytical affordances alongside with their main design systems. These were: structural
calculation, Computational Fluid Dynamics (CFD) and electrical dimensioning software.
These systems allowed for several analytical operations such as to simulate fire growth,
calculate structural stability and electrical dimensions. With the exception of the fire
protection designer, all engineers deployed BIM modeling systems to create 3D virtual
models and 2D paper drawings of their designs, thus enacting BIMs transformational and
representational affordances. These BIM systems were domain specific, e.g. for mechanical,
structural or electrical design, and differed for instance by the availability of certain
parametric objects (e.g. electrical designers require cable-trusses and structural engineers
require parametric objects signifying reinforcement bars). The fire-protection engineer,
however, created his design by using a 2D CAD system to generate 2D paper drawings of
his design. The engineers made their designs match by simply discussing relevant issues in
their office, for instance, the HVAC and electrical designers shared office and all other
designers had their offices on the same floor in the same building. Thus, they did not use the
collaborative functionality embedded in their BIM systems. However, the engineers had a
system in place to align their designs with external parties such as the architect. This system
consisted of a model viewer and a model checker, which allowed assembling individually
created domain specific BIM models based on open standard IFC files into a common

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building model, thus this system was used for its cooperative affordance. Throughout the
design stages they met with the architect and client in bi-weekly meetings in which all
designs were matched and discussed based on a shared IFC model. The engineers and the
architect together conducted virtual walkthroughs to detect clashes and conflicts between
their models in building design.
The activities related to the Workshop design (Execution) took place after the architectural
and engineering designs were more or less finalized. These activities included the creation
of detailed workshop designs required for manufacturing of the wooden building components
as well as the detailed planning of their on-site assembly. These services were provided by a
general contractor, a massive wood manufacturer and a glue-laminated timber beam
manufacturer. The general contractor had a mediating role in that he gathered design
information provided by the architect and the engineers and distributed this information
further to the massive-wood and the glue-lime beam manufacturer. The general contractor
used a 2D CAD system to execute his design tasks ergo he made use of its transformational
and representational affordance. The design objects distributed further were 2D CAD files
and 2D paper drawings. In addition he deployed a 3D model viewer affording him the
opportunity for one way cooperation where he could view models created by others but not
share any models since no such were created. The general contractor used the model
viewer application to view IFC files provided by the structural engineer and the architect as
an information source for their on-site assembly crews. The glue-lime manufacturer used a
2D CAD application to create their shop drawings based on 2D drawings provided by the
general contractor, thus they made use of 2D CADs transformational, representational and
cooperative affordances. Alongside their 2D CAD system they deployed a 3D Computer
Aided Design and Manufacturing CAD/CAM solution for wood design to view the
architectural 3D model in order to understand the complicated roof shape of the building,
thus utilizing this systems cooperative affordance. They opted for using 2D CAD instead of
their 3D CAD/CAM solution in design due to the fact that they did not have CNC production
machinery large enough to produce the components required for the library. The massive
wood contractor deployed an end to end 3D CAD/CAM solution to create their workshop
design. The outcomes of their design activity were 2D shop drawings, an Excel bill-ofquantity and CNC data used to control their production machinery. They based their design
on the 2D CAD drawings and a 3D virtual model provided by the general contractor and the
structural engineer.

5. Discussion
Our findings make it possible to understand the range of affordances BIM technology offered
its users at project level and the degree to which these were enacted in practice. While most
of the projects designers made use of BIMs transformational affordance to create their
individual disciplinary 3D models, BIMs embedded cooperative affordance was only enacted
to a very limited degree. Todays systems such as Autodesks Revit have the affordance to
serve as cooperative design spaces allowing for multiple designers from different disciplines
to create shared virtual BIM models in collaborative dialogue. Scholars have argued that
concurrent design based on a central, shared 3D model is difficult to accomplish with current
packaged [BIM] software solutions (Whyte, 2011). Instead of collaborating based on a

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central model in their BIM systems, the actors collaborated based on a variety of improvised
practices. In our case study we observed, for instance, that collocated actors such as the
engineers matched their model based designs by simply discussing them in their office.
Others collaborated based on paper drawings created in 2D CAD. In addition, several actors
exchanged and matched replicas of their individually created project models based on
standard IFC file format, shared by deploying model viewers and checkers. However,
presuming that BIMs embedded work sharing solutions are technically adequate for
cooperative design, we can only speculate why actors opted for not making use of its
cooperative functionality.
Literature reports that systems promoting teamwork may be rejected by people that usually
work alone, and refer to this phenomenon as cultural misfit of technology (Markus, 2004).
It could be that BIMs embedded work-sharing functionality was rejected due to the fact that
construction designers are not used to create designs in concurrent collaboration, but rather
like to finalize designs individually before sharing them with others. A second possible
explanation for not enacting BIMs inbuilt cooperative affordance could be that it simply does
not fit the way in which people work in the construction industry, a phenomenon referred to
as task or business process misfit (ibid.). If BIMs embedded cooperative functionality is
unfit or counterintuitive to peoples way of working then it becomes understandable why this
functionality has not been enacted in practice, and why the actors deployed other solutions
(model viewers or 2D paper drawings) for collaboration.
Further, none of the systems used at project level had the affordance to inform its users
about the context in which the design and coordination technology was to be applied. An
example for such technology could be a communication web tool where individuals
exchange and organize files as nodes in information dependency maps (Senescu et al.,
2011, p. 3) This finding does not come as a surprise since systems having these affordances
are not yet commercially available. Currently, research efforts are underway exploring ways
how to develop BIM into a communication facilitating software and an example for this work
is the development of the Design Process Communication Methodology (DPCM) which has
been developed based on ideas stemming from Business Process Modeling (BPM), Human
Computer Interaction (HCI) and Organizational sciences (Senescu et al., 2011). In addition
to the absence of systems having support affordance at project level, we found no systems
having an infrastructure affordance useful to transfer knowledge, skills or methods to other
projects or planning situations. Moreover, we could not identify systems useful to serve as a
central repository providing storage affordances to its users. These findings are somewhat
surprising as for instance shared BIM model severs or online repositories useful to exchange
model drawings and information surrounding the BIM model, which have both storage and
infrastructure affordances, have been commercially available to the construction industry for
some time.
Apparently, the design practices of several project actors, such as the general contractor
and the fire-protection engineer were based on 2D CAD technology. Other project actors
interested in communicating with these two parties were required to convert their model
based designs back and forth into 2D CAD drawings. Researchers argue that the
conversion of the model [] into 2D drawings is a common phenomenon in todays

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8

construction projects as industrial practice is still in transition from 2D to 3D design (Whyte


2011). However, having two types of design objects is problematic as it takes extra work
to get 2D plans and is not just a slice through the model (ibid., p. 165). Moreover, our
findings support that when central project actors, such as the general contractor, do not
deploy 3D tools affording them to collaborate with others then the project partners begin to
improvise and bypass these actors in their communication. In our case project, for
instance, the subcontractors (massive-wood contractor and the glue-lime builder)
approached either the structural engineer or the architect to establish a direct access to 3D
modeling data. Thus, the general contractors traditional role as information hub for the
subcontractors was undermined by him not deploying 3D modeling technology. The fireprotection engineers inability to participate in modeling had less severe consequences,
since he was collocated with the other engineers who readily incorporated his 2D design in
their 3D models.
There is high task interdependence between the designers participating in the different
design stages of negotiation, generation and execution. Engineers depend on prior work
provided by the architects and so forth. This fact is owed to the sequential nature of
construction design in which design is gradually accumulated over time. We found that
actors possibilities to use their design systems for goal-oriented action or their freedom of
enactment depended on when in the design process they contributed. We define freedom of
enactment as the degree of flexibility which an actor has to act in a given structure such as
BIM information systems (Weick, 1988). While actors working in early project stages (e.g.
architect) enjoyed relative freedom in enacting their design tool affordances (in our case the
architect used three different modeling systems), actors in later project stages are
constrained in their ability to make goal-oriented use of their technology. These constraints
stem from the necessity to work with design data previously created by others.
Examples of project actors being less fortunate than the architect regarding the freedom of
enacting their tool affordances were subcontractors such as the massive wood and glue-lime
entrepreneurs who were dependent on design created by their predecessors. They needed
to incorporate previously created 2D CAD files or 3D models from a variety of systems into
their design. Thus their capability to deploy their own systems effectively for goal-oriented
action was reduced. A graphical illustration depicting that an actors position in the design
process relates to the freedom of tool affordance enactment can be found in Figure 1. We
argue that choices made at an early stage of a project with regards to which tools and
affordances are enacted in practice may have a profound effect on the opportunities for goaloriented ICT mediated action at later project stages. Thus, we argue for the need to direct
managerial attention at decisions made in early design stages, foreseeing their potential
consequences which may constrain actors in later project stages in using their systems
effectively. In addition, it seems that the case study results could be partly explained due to a
lack of explicit agreement on software to be used and on the strategic management of the
BIM implementation (Merschbrock, 2012). Moreover, the results may be attributed to a lack
of client commitment to using BIM at project level, and the varying maturity in using
advanced systems such as BIM among the individual project participants.

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9

Figure 1: Freedom to enact tool affordances in construction design


We believe to have provided some practical insights helping to understand some of the
weaknesses in current practice and some of the hurdles preventing practitioners from
reaping the benefits of BIM technology and we have presented suggestions for how these
hurdles could be overcome. Gaskin et al. (2010) provided a list of research avenues
worthwhile pursuing, e.g. to study the extent to which design routines within in a single
project [] are similar and different, in what ways, and how do they mutate over time?
(p.12). We have contributed to their work by an in depth discussion of the similarities and
differences of the design routines within our construction project, however, our work is
limited in that we did not provide a longitudinal perspective identifying if and how these
design routines mutate over time. Deploying a longitudinal perspective explaining how
actors routines vary beyond the project studied could be a worthwhile avenue for further
research.

6. Conclusion
By deploying a sequential analysis it was possible to develop an understanding of the use
and affordances of BIM technology in digital construction design. Despite heavy investment
by most project actors in new modeling technology, several organizational and technical
challenges prevail. On the technical side, the tools deployed at project level had several
shortcomings in their functionality, lacking support, infrastructure and store affordances.
Moreover, the cooperative affordance embedded in the BIM systems had not been enacted
in practice. In addition, we found a central project actor still deploying 2D CAD instead of 3D
modeling technology in design, requiring frequent transition of model based designs into 2D
CAD drawings. Thus, it may be questioned if the tools used at project level were good,
complete, aligned and used and appropriately managed for benefits (Markus, 2004). On the
organizational side, we could identify many practices surrounding the modeling activity which
were merely improvised workarounds that emerged in response to the affordances of the
tools used at project level. These workarounds, in combination with the lacking tool
affordances, resulted in the designers missing out on the radical improvements often
attributed to BIM technology. We argue that some of the identified weaknesses can be
attributed to a lack of managerial attention directed at the early stages of the project.
However, our view on design routines is developed based on a single case study and
interviews with a selected number of practitioners. Even though we argue that our findings

145
10

have relevance beyond the case project studied, additional research studying multiple
projects and contexts is needed to further validate our findings.

Acknowledgements
Bjrn Erik Munkvold provided helpful feedback. This work is supported by grants from the
Competence Development Fund of Southern Norway and Vest-Agder County Municipality.

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12

Integrated approach for development of automatic


building application systems
Eilif Hjelseth1
Abstract
Building applications / permissions are mandatory passing points from design to implement
building construction. One important benefit from use of automatic building permission
system is the possibility to check design solutions in advance, which might give a higher
degree of predictability and reduced production time. BIM-based design systems (software
and process) exist, and it is therefore a paradox that the number of solutions for automatic
checking of building applications, complete or partial, is very limited. Specification of
computable rules is a challenge. This paper argues for the need of increased integration
between legal building authority, informatics and construction can enable a shift in
development of regulations adapted for model checking. There are no clear terms for
identifying different types of automatic model checking systems. A framework for
classification of degree of automatic processing of building application systems is presented.
A new Norwegian public project called ByggNett is presented to illustrate ideas for an
automatic building applications system.
Keywords: Model checking, regulations, building permission, ontology, BIM

1. Introduction to the missing links


Building permission is a mandatory point for all building and construction projects.
Considerable amount of resources are put into this manually process, both by the applicant
and by the building authority. A digital automatic, or semi-automatic, building permission
systems should give a simplification with more predictable result for the applicant and less
effort by the authority. The interest for automatic solutions should therefore be high. All
stakeholders notes the need for improvements in this field, however the guts to take part is
hard to discover. The regulations (law, act, code, directive, and standards) are written for
human / professional interpretation. Converting regulations into computable rules is therefore
not a straight forward job. Use of function based regulations is an extra challenge. According
to previous study by Hjelseth (2012a, b) is a well-defined procedure for transforming
regulations into computable rules needed for valid and reliable results. Can a
multidisciplinary approach contribute to improved interpretation and prepare for
implementation of rules into BIM based model checking software?

Department of Mathematical Sciences and Technology, Norwegian University of Life Sciences


(UMB), P.O. Box 5003. NO-1432 Aas, Norway, eilif.hjelseth@umb.no.

148

The regulations are at national level (in Norway), but the processing of the applications is at
local level. This has both to do with the legislation, and with the economy model. The
application fee is going to the local building authority and calculated at full cost coverage.
This reduces economic incitements for improvement of the application process, and
development of joint national wide project for a joint solution. Maybe the outcome of
increased degree of automatic processing of building applications must be valued as more
predictable results, (and increased activity in the industry) and more targeted regulations
(regulations can be tested on a variety of models / buildings).

2. Development of systems for automatic checking of building


applications
2.1 Need for an integrated view
The arguments for an integrated approach is based on a perspective of development from
the single domain view of the legal, informatics and construction domain, through the double
domain view and ending up with a triple domain view which focus at the interface between
legal, informatics and construction. The integrated approach is illustrated in figure 1.

Automatic building
application and
permission systems

Legal

Informatics

Construction

Figure 1: Model of integrated approach for automatic building permission systems


We start exploring these three domains by taking a single domain view and expand this to a
double, and finally to the triple domain view of integration.

2.2 Single domain view


The three domains in the single model view model are:
- Legal specifications of regulations (regulations include: law, act, code, regulative,
directives, standards etc.). Legal is a domain with long history and its own language. Legal
have tradition for interpretations and references to other regulations for complete
interpretation used in a single concrete case. Solving the discussion about Performance
based versus Prescriptive based regulations is an important part of making regulations
computable. Performance based specifications are known as recipe specifications, while
prescriptive specifications are known as end result specifications (Gibson, 1982). BIMbased model checking software works with discrete metric. Prescriptive statements are
therefore in principle prepared for implementation into BIM-based model checking software.
Performance based specifications have quantitative goals or objectives. They are in principle
much more interpretable, but might give better conditions for innovative new solutions

149

(Oleszkiewicz, 1994). Implementing this type of statements into model checking software is
not a straight forward process.
- Informatics is a broad domain and often divided into two disciplines; the natural science
based computer science and the organizational aspect from social science. The first domain
is about systems for how to exchange data (syntactic / semantic interoperability). Use of
standards from W3C such as Web Services, XML technology, and support for Sematic Web
(W3C, 2012) and IFC and IFD (built on ISO standards) from buildingSMART (2012). The
second domain is more focused on process and collaboration for Systems for specification
of information to exchange (semantic / organisational interoperability). Use and IDM,
Information Delivery Manuals (buildingSMART 2012) based ISO 29481-1 standard is an
example of applicable specification of solution. Development of solutions can also be divided
into three stages: 1) system design 2) software programming 3) implementation. This
paper focus on primary on system design.
- Construction includes architects, engineers, contractors, facility management (AEC/FMindustry). The industry is fragmented and the complexity and relations of work and
information flow is hard to understand for outsiders. Process and much of the information
flow - is based on accumulated knowledge. Implementation rate of ICT is very low compared
to heavy investment industries such as aerospace. The fragmented AEC/FMO industry is
therefore very dependent on standards, both on legal issues like contracts and specifications
system of product and works, as well as within ICT, where use of the ISO based IFC format
is increasing.

2.3 Double domain view


As illustrated in figure 2 there are three well established research domains. But there is a
lack of research projects, and research traditions, that covers the challenges regarding
model checking of building applications. If we split the integrated figure 1 into double
interactions, we find some established research approaches, illustrated in figure 2.
L = Legal

I = Informatics
C = Construction

BIM

Ontology

Constraints

Figure 2: Combinations of interference between informatics, legal and construction


- BIM - building information modelling can be regarded as the crossover between informatics
and construction. So far, the focus on the I in the BIM has been limited. Most focus is still
on 3-D geometrical representation and visualisation. Agreement regarding delivery of
information is not in practical use, despite that BuildingSMART has adopted the IDM
standard (based on ISO 29481-1:2010) as one of its three pillars of BuildingSMART..
- Ontology: Regulations are based on text written in a way that often has to be interpreted.
There is a challenge regarding function based and prescriptive regulations (IRCC, 2010).

150

Terms and definitions is not a part of the regulations (as with standards. Established practice
makes interpretations more easy / predictable. Legal text is not structured for implementation
into model checking software. The connection between regulations is also a challenge. Use
and understanding of a term in one regulation is not necessary identical in another
regulation, or can be identical under some conditions, but not all.
Understanding the impact support of tagging the text in regulations with RDF, (Resource
Description Framework), (W3C, 2012) for strong semantics will be a large improvement for
further system development. An example is the Byggeregler p ett sted (Regulations in one
place) by the Norwegian Building Authority. This is a web-based archive with all relevant
regulation, law, code, and guideline. This includes also previous versions, compared to
paper based version, or finding the information by responsible authority, collecting and
updated list of links is an improvement. However, compared with a RDF solution enabling
search across all relevant documents, is the potential for further development very positive.
Even if ISO offer standards in XML format, most standards are still only available in digital
format as pdf-files. (ISO, 2012). ISO concept database is a collection of Clause 3 - Terms
and definitions from all standards, but the concept database is not prepared or designed for
advanced semantic search. However, when dealing with legal documents must the doctrine
of sources of law perspective be included.
- Constraints: The legal regulations are determining what is mandatory to be included, or
excluded, in a building project. This is done by defining requirement by putting up max or
minimum values, including elements (such as elevators if the building is above a defined
number of floors). This is defining constraints or framework for the design solution.
Presumably it should be easy to understand, and implement, logical word by word, in a
model checking system. However, this is not as easy as it looks like. The regulations are not
clear about what information is needed. The definition of the metric in the regulations is often
not clear enough or open for definitions or extremely detailed in millimetres. This can
cause increased conflicts of interests between the political intentions of the regulations and
what is realistic to conduct. Use of discretional assessment is a challenge especially when
the local authorities make their own assessments.
A classic situation is the inherited conflict between performance based and prescriptive
based regulations. Identifying relevant metric is important when interpreting function based
regulations into a model checking system which only process discrete metric. Studies by
Hjelseth (2012a, b) and by Hjelseth & Nisbet (2010, 2011) indicate the defining metric from
performance based regulations is solvable as parametric rules. The doctrine of sources of
law must be taken into is relevant to give valid transformation of regulations into rules
applicable for automatic BIM based model checking.

2.4 Triple view perspective; The integrated L+I+C model


The limitation with the double view can be reduced, or removed, by use of the triple view
model which are focusing on the interactions between all three domains; Legal + Informatics
+ Construction. The L+I+C model are presented in figure 3. This model can be used to
illustrate how large is the common domain for automatic checking of regulations.

151

L
I

C
Stage 1

L = Legal

L
I
Stage 2

I = Informatics

C = Construction

Stage 3

Stage 1: No interaction
Stage 2: Some interaction, aware of each others situation, but no common domain
Stage 3: Further integration common domain Model / Rule checking is established

Figure 3: The L+I+C model for development of integrated triple domain view
The interaction between the three domains in practical / concrete situations does not have to
be symmetrical, regarding number of elements between the domains. In many cases will
the double view be the starting point, and supplement of the third domain does not result in a
radical re-development of all domains. The new, third, domain will often works as a catalyst
and trigger small changes with large impact.
An example of this is the previous example with function based regulations and defining of
metrics. By use of informatics, it is practical to process an increased number of metric.
Instead of using pre-accepted solution, it is possible to define a list of characteristic
properties (the unique properties used when testing the pre-accepted solution). This does
not imply a re-structure of the regulations itself, only a reference to the list of characteristic
properties where they have used qualitative indicators. Processing would not be practical
without an integrated view. List of characteristic properties would not be regarded as
simplification in traditional human use of the regulations due to more text/specifications.
The regulations have only to include a reference list of characteristic properties. Existing preaccepted solutions can be used as a foundation for specification of characteristic properties.
The informatics is just using its capacity to process large amount of discrete data. Model
checking within this context can now be done with high degree of automatic processing with
valid and reliable outcome.

3. Classification of degree of automatic processing of building


application systems
Lack of harmonized terms for describing comparing solutions for automatic processing of
building applications makes it hard to understand the content and purposes of different
solutions, and to compare degree of automatic processing in different solutions. Table 1
presents a framework for classification. The taxonomy for classification is based on
identifying degree of automatic collection of relevant information and degree of automatic
assessment of the application.

152

Table 1: Framework for classification of degree of automatic processing in public


building application systems
Level/

Service:

Applicant

Input from

Submission

Output to

Term *)

Automatic/

filling in

other public

system

other public

Manual
Manual 100 %
0% / 100 %

20% / 80 %

All forms
manual on
computer

Registry
managed by
building
authority

40% / 60 %

Check that all


forms are filled
in

Business
registry

60% / 40 %

Adapted forms, Map /


filling manually, visualisation
some automatic
transfer from
other sources

80% / 20 %

Mostly
automatic
transfer from
other sources /
software
systems

Manual writing
into paper forms

registry
No input

Geo related info


like ownership
of property.
Regulations of
site etc.

100% / 0 %
Automatic
Automatic from
Automatic 100% information from all registry
internal systems

Building
authority

registry
No output

Approval
Manual

Transport by
e-mail.
Mail allowed

Information to
other public
authorities listed
in application

Submission
system with
feedback of
correct received
Mail allowed
Submission
system with
feedback of
correct received
Mail not allowed

Digital transfer
to some registry
after manual
control of quality

All information
received digital
by one system.
High security.
Mail not allowed

Geo reference
of building.
Ownership of
property.
Liability

All digital
received.
Feedback on
progress

Automatic to
all registry

Manual, but
complete
application
checked
automatic
Pre-defined
regulations
done auto.
Checklist on
manual
Pre-defined
regulations
done auto.
Report on
regulation to be
checked manual
Most regulations
checked
automatic.
Manual
overview and
assessment of
complicated reg.
All computable
regulation
checked auto.
Min. manual

Physical mail,
hand-over

Digital update of
some registry.
Manual /semiautomatic
control of quality

*) Terms related to each level:


0. Manual system
1. Form based submission system
2. Form validation system
3. Digital application system
4. Integrated digital application system
5. Integrated digital application and validation system

4. Development of technical solutions


4.1 Development of commercial solutions
Commercial software like Solibri Model Checker (use IFC-based, information rich) from
Solibri Inc. in Finland (Solibri, 2012), and in some degree Navisworks (use several formats,
but limited information) from Autodesk in USA (Navisworks, 2012) illustrate the potential in
model checking. However, commercial solutions do not include rule-set of public regulations.
This could be an option if the national building authorities developed and delivered detailed
specifications (IDMs) for programming computable rule-sets. The commercial software
developers could compete in offering customized services to their clients.

153

4.2 Overview of developed national public solutions


Digital solutions for processing building applications are not common service. Lack of
common international terms makes it hard to discover potential solutions in other countries.
The CORENET e-Submission System in Singapore is well known (CORENET, 2012). UK
has developed the Planning portal; UK Government's online planning and building
regulations resource for England and Wales (Planning Portal, 2012). Korea is developing the
Seumter Code Checking System based on research at the Kyung-Hee University (Kim,
2012). This list is not comprehensive and the author appreciates feedback about other
initiatives. Norwegian Building Authority has developed a ByggSk (Building Application)
opened in 2007. This is a web-based solution for verification of filled in forms related to
specific types of applications. They plan to develop a more sophisticated solution called
ByggNett (DIBK, 2012).

4.3 Development of public solutions for digital building applications in Norway


4.3.1 ByggSk Norway
The internet based building submission system called Byggsk was opened in July 1st
2003. The development lasted for three years and the cost was about 2 million Euro (2003
rate). With ByggSk can the builder fill out the application and sent it via the internet. The
level of service and complexity is illustrated in figure 4 (DiBK, 2012).

Figure 4: Development progress of the Norwegian ByggSk solution (DIBK, 2012).


ByggSk verifies that all required fields in the application forms are filled in before it can be
submitted to the local building authority. Present version of ByggSk cover step 3, but do
also allow use on step 2. Step 2 in ByggSk corresponds to Bew-Richards (2008) BIM
Maturity Model (the Wedge) at level 1. Step 3 and 4 corresponds to level 2 on the BewRichards 0 to 3 scale.
In 2012 was approximately 110.000 applications submitted to the local building authority.
Approx. 37% was submitted as paper-based forms (completed manually on paper, or as
print-out of pdf-forms completed manually on the computer). ByggSk was used as a tool for
completing approx. 70.000 (63% of total) applications. The processing of all applications

154

submitted by ByggSk is done at the local building authorities, in the same way as traditional
applications based on paper forms. The application from ByggSk can be submitted as:
1) printout on paper and sent by mail ordinary mail / delivered manually local building
authority office. This enables supplement of paper drawings and other documents.
2) digital files by internet. The application forms as one single pdf-file, in addition to an XML
structured file. Supplementary documents and drawings must be attachments as pdf-files.
There is an option for submitting additional documents / drawing by mail. The processing
does not start until the local building authority receives this.

70
60
50
40
30
20
10
0

Distribution in use of ByggSk 2005 - 2012


% of total
applications
% digital submitted
% of local buiding
authorities
2005

2006

2007

2008

2009

2010

2011

2012

Figure 5: Distribution in use of ByggSk 2005 - 2012 (DIBK, 2012).


Figure 5 illustrates an increase in use of ByggSk as tool for preparing the application.
However, the percentage of digital submission has not increased. The Norwegian Building
Authority points out two perspectives as possible explanations:
- Applicant: Large number of documents from many sources has to be digitized. ByggSk is
only used to ensure that all relevant forms are filled in. No benefits (reduced fee, shorter
processing time) for 100% digital applications. ByggSk is used as an advanced application
writer with input validation of fields in the form (but no validation of content).
- Local building authority: Lack of system to process the applications in a digitized way
(XML-import and use of digital attachment). Received applications are printed out and
processed manually.
4.3.2 ByggNett Norway
The Norwegian Government has in their white paper to the Parliament (St.meld. 28, 2012)
given priority to the development of ByggNett (BuildNettwork) as a common platform for
exchange of digital information in the AEC/FM-industry. The ambitions includes:
- further development ByggSk into the new ByggNett framework for collaboration
- national registry for documentation of buildings
- integration of building information modelling (BIM)
- increased digitizing in general for all processes in the AEC/FM-industry
- integration of Altinn (extensive public Norwegian web-based solution for tax and
business information)
- re-development of regulations (preparing for automatic model checking of projects)
- high focus on simplification (this is supported by a Bygg enkelt (Build simply) project.

155

Principles aligned with directives from the Norwegian Agency for Public Management and
eGovernment (DIFI). They have proposed how joint national components should be
managed, financed and developed. Common components or building blocks are defined as
components in the IT solution that can be jointly used or reused in multiple IT solutions that
allow the development of electronic services in the public sector. (DIFI, 2012).

Figure 6: Possible development positions for future ByggNett solution


Figure 6 illustrates the dynamics in a possible development of the ByggNett concept. Stage
3 represents a file-based approach where use of BIM models in IFC-format has a central
role. Partly implemented model checking indicates that some parts of the regulations are not
prepared for automatic (semi-automatic) checking. The information exchange is between
predefined (known) actors. Stage 4 represent a cloud based solution based high degree of
Web-Services. This requires well defined specifications of the information exchanged so
the receiver only get whats relevant. The following quote from the white paper to the
Parliament (St.meld. 28, 2012) illustrates a pervasive approach for development of new and
integrated solutions and services:
A scenario for the digital construction
..In the future, a builder could start with a digital model of the site with
associated infrastructure that can be downloaded from the Internet. It
automatically gathers information from many public and private registers (map
data, property data, neighbour addresses, geological setting, the model of
existing buildings etc.)
. With the aid of data from model, the builder considers alternative and
environmental consequences, make live analyses and calculate costs.
.The digital model contains all the information needed for applying for a public
permits and for a complete build process. The authorities have aligned building
regulations so that the developer can check the model builder already from the
sketch phase and throughout the modelling process.
. All relevant authorities interact on the same model.
When the building is finished, the public and private registry can be updated
with relevant information from the model. In this way will the public have all
necessary information about the building accessible for later needs.
(St.meld. 28, 2012). Translation by author.

156

This states an ambition aiming complete digital information flow and pervasive use of digital
solutions. The augmented perspective to prepare for future needs which will need more
information about a large number of use cases. ByggNett will act as a role model of public
government to take the leadership for digital collaborations processes in the AEC/FM
industry and public authorities involved the AEC/FM sector (DIBK, 2012).

4.4 Impact of model checking support


Use of model checking support can be regarded as a helpful tool and the catalyst for
digitalization for the AEC/FM industry in general. The AEC/FM-industry is in most countries a
highly regulated sector. In Norway a large number of public authorities can have an influence
on the building application outcome. Examples of relevant authorities are: Labour Inspection
Authority, Food Safety Authority, Directorate for Cultural Heritage and more. For the
applicant is faster processing and lower fee of building application is of course relevant. But
looking closer, this is most important in smaller projects were this has a higher ratios
compared to design time and project cost. However, maybe the qualitative improvements
resulting in more predictable outcome is the most important impact. The ability to use this as
support during the design process can have significant impact on the design of buildings.
Likewise can the national building authority use digitalization during development of new
regulations and to explore consequences of new regulations and to identify interactions
between different regulations. Internal survey at the Norwegian Building Authority (DIBK,
2012) regarding coordination about regulations for buildings in use pointed out that many
regulations was overlapping, and could be collected in a single common regulation with just
minor parts for each authority. The list of benefits of automatic assessment systems
includes:
- Equal requirements for information for all local authorities
- Equal assessment for information for identical type of projects
- Digital information enables reuse for other purposes.
- Digital network of information
- Solutions for pre-check of application in advance of formal submission
- Support for design according to the regulations.

5. Discussion
The arguments in this paper for an integrated approach are based on principle and
theoretical approach for an ideal solution. The empirical foundation in this paper is limited.
A large number of legal and technical issues regarding development of digital solutions for
automatic processing of building applications are not included in this study. This paper does
therefore not give the full picture. The proposals in this study can therefore only be used as
guidelines for development and further research.

157

6. Conclusion
The L+I+C model (legal + informatics + construction) explain the need of an integrated
approach for development of automatic building permission systems. The L+I+C model
clarify the interface between informatics, legal and building aspects and gives an overview
of what can be applicable for automatic, semi-automatic or manual compliance checking.
Support of automatic, or semi-automatic, building permission systems is assumed to give a
simplification with more predictable result for the applicant and less effort by the authority.
Use of terms is often confusing, making it hard to understand content and functionality in
application systems. To improve this situation a framework for classification of automatic /
semi-automatic building permission systems been developed.

7. Further research
Further studies will focus on identifying countries and projects which develop and implement
systems for processing of building applications. Analyses will include study of submission
and validation / model checking systems and type and number for rules implemented. The
author welcomes information about relevant projects and possibilities for collaboration.

8. Acknowledgement
Acknowledgement to Norwegian Building Authorities for sharing experiences, information
about ByggSk application and history and strategy for development of future ByggNett.
A special thanks to architect and elk hunter Lars Aasness for spending his spare time to
comment this paper.

References
Bew-Richards (2008). Bew-Richards BIM Maturity Model presented in BIM Overlay to the
RIBA Outline Plan of Work, Edited by Dale Sinclair, May 2012. ISBN 978-1-85946-467-0.
http://www.ribabookshops.com/uploads/b1e09aa7-c021-e684-a548-b3091db16d03.pdf
buildingSMART (2012). BuildingSMART International, International home of open BIM,
www.buildingsmart.com
CORENET (2012). CORENET. e-Submission System in Singapore. https://www.corenetess.gov.sg/ess/
DIBK (2012). Survey about ByggNett. Norwegian Building Authority, Oslo, Norway,
www.dibk.no
DIFI
(2012).
National
common
components
in
the
public
sector.
http://www.difi.no/artikkel/2012/05/national-common-components-in-the-public-sector
Published: 2012-04-30.

158

Gibson, E. J. (1982). Working with the Performance Approach in Building. International


Council for Research and Innovation in Building and Construction, CIB Report Publication
64. Rotterdam, The Netherlands.
Hjelseth, E. (2012a). Converting performance based regulations into computable rules in
BIM based model checking software. Presented at the ECPPM 2012 conference in
Reykjavik, Iceland, 25 27th July 2012.
Hjelseth, E. (2012b). Experiences from converting interpretative regulations into computable
rules. Presented at the CIB-W078 conference in Beirut, Lebanon, 17 19th October 2012.
Hjelseth, E. and Nisbet, N. (2010). Exploring model checking by use of the semantic markup RASE methodology. Presented at the CIB-W078 conference in Cairo, Egypt, 16th 19th
October 2010.
Hjelseth, E. & Nisbet, N. (2011). Capturing normative constraints by use of the semantic
mark-up RASE methodology. Presented at the CIB-W078 conference in Sophia-Antipolis,
France, 23rd 26th October 2011 http://2011-cibw078-w102.cstb.fr/papers/Paper-45.pdf
IRCC (2011). Inter-jurisdictional
http://www.irccbuildingregulations.org

Regulatory

Collaboration

Committee

(IRCC).

Kim, I. (2012). Seumter Code Checking System. SMART Geospatial Expo 2012 (The 82nd
OGC TC/PC Meetings, ISO/TC 211 ans ISO/TC 59/SC 13 Joint Workshop on BIM_GIS,
OGC interoperability Day, Seoul, Korea 12. Oct. 2012. www.opengeospatial.org
Navisworks (2012). Autodesk Navisworks Products http://usa.autodesk.com/navisworks/
Oleszkiewicz, I. (1994). The Concept and Practice of Performance-Based Building
Regulations. IRC-IR-697. National Building Code of Canada. http://www.nrccnrc.gc.ca/obj/irc/doc/pubs/ir/ir697/ir697.pdf
Planning Portal (2012). Planning portal. UK Government's online planning and building
regulations resource for England and Wales. www.planningportal.gov.uk/
Solibri (2012). Support for Multiple BIM Requirements and Building Code Analysis. Solibri
Model Checker. http://www.solibri.com/
St.meld. 28 (2012). Gode bygg for eit betre samfunn (Good buildings for a better society)
Proposition from the Ministry of Local Government and Regional Development to the
Norwegian Parliamentary http://www.regjeringen.no/nn/dep/krd/Dokument/proposisjonar-ogmeldingar/stortingsmeldingar/2011-2012/meld-st-28-20112012.html?id=685179
W3C (2012). Standards (with further specifications of Semantic Web, XML Technology and
Web of Services). http://www.w3.org/standards/

159

Assessment of the Building Code of Australia to


Inform the Development of BIM-enabled Codechecking Systems
Shan-Ying Shih1, Willy Sher2 and Helen Giggins3
Abstract
Building projects in Australia are traditionally checked manually against the Building Code of
Australia (BCA) a set of continuously changing and increasingly complex regulations.
Manual certification processes are error-prone and time-consuming tasks (J. Jeong & G.
Lee 2010; Tan et al. 2010). Technical developments in Building Information Modelling (BIM)
provide the potential for a new-generation of software tools to assist the checking of
compliance with building codes. These should improve efficiency and accuracy for
designers as well as for governing bodies. This paper reviews the requirements of
certification processes for commercial buildings with specific emphasis on fire codes. We
describe the selection of building class, the assessment of fire rating and the interpretation
of fire codes. The characteristics of these requirements are explored, and ways for BIMenabled checking systems to access these data are identified.
Keywords: BCA, IFC, code-checking system, BIM

1. Introduction
Within the construction industries, building designs require approval by governing bodies
before construction works can commence. In Australia, the approval documents that
applicants need to obtain are Development Approvals (DA) and Construction Certificates
(CC) (Building Professionals Board 2011). Several studies have identified the timeconsuming and error-prone nature of checking building designs against building codes (J.
Jeong & G. Lee 2010; Tan et al. 2010). These problems result largely from the manual
certification processes conducted by certifying authorities and are compounded by the
continuous changes and increasing complexities of the building codes (Tan et al. 2010;
Greenwood et al. 2010). If building designs are found to be not compliant, delays and budget
overruns ensue (Abrantes 2010; Tan et al. 2010). Moreover, this may compromise the
quality of the construction works (Building Professionals Board 2012).

Ph.D. Student; School of Architecture and Built Environment; University of Newcastle; University
Drive, Callaghan NSW 2308, Australia; Shan-ying.shih@uon.edu.au.
2
Associate Professor; School of Architecture and Built Environment; University of Newcastle;
University Drive, Callaghan NSW 2308, Australia; willy.sher@newcastle.edu.au.
3
Lecturer; School of Architecture and Built Environment; University of Newcastle; University Drive,
Callaghan NSW 2308, Australia; Helen.giggins@newcastle.edu.au.

160

Some studies have suggested developing code-checking systems to improve the


certification process for both certifying authorities and designers (L. Ding et al. 2004;
Abrantes 2010; J. Jeong & G. Lee 2010), thereby improving efficiency and productivity.
Currently, Building Information Models (BIM) are acknowledged as an effective platform for
exchanging information between design team members (Babi et al. 2010; Grilo & JardimGoncalves 2010; Succar 2009). BIM has the potential to drive the development of
applications that conduct rigorous analyses for team members before construction works
start (Rogers 2012). Additionally, related research notes that BIM has the potential for newgeneration software tools to facilitate the checking of compliance with building codes, hence
improving the efficiency and accuracy of the checking processes for designers as well as for
governing bodies (Greenwood et al. 2010; Yang & Li 2001). Examples of such BIM
applications have been developed in several countries (including Singapore and Norway)
and have been demonstrated to be beneficial for stakeholders (Eastman, J. Lee, et al.
2009). Moreover, the development of BIM-enabled code-checking systems for Australia has
also been demonstrated in a buildingSMART Australasia report (buildingSMART Australasia
2012).
This present study seeks to extend earlier developments for the Australian construction
industry. In next section, it reviews the characteristics of existing code-checking systems to
identify the information required by BIM-enabled checking systems. Afterwards, the
procedures of fire code-checking and the ways of interpreting fire codes are discussed in
section 3. This section also sets out a methodology for the interpretation of building codes
for future studies.

2. Current Code-Checking Systems


The concept of developing code-checking systems that use BIM is not new. However, the
factors that affect the development of code-checking systems are complex and these
applications are not yet mature. A leading exponent of BIM-enabled code-checking systems
has been CORENET (Construction and Real Estate NETwork) in Singapore, where a
significant proportion of the nations building regulations can be checked through Industry
Foundation Class (IFC) models (Eastman, J. Lee, et al. 2009; Khemlani 2011). CORENET
was funded by the Ministry of National Development in Singapore. CORENET may be seen
as the catalyst which promoted the development of code checking systems in countries such
as Norway (Statsbygg), Australia (DesignCheck) and the United States (International Code
Council, ICC) (Eastman, Jae-min Lee, et al. 2009). A comparison of these and three
additional code-checking systems viz. LiCA (Portugal)(Martins & Monteiro 2013), ACCBEP
(Canada) (Tan et al. 2010) and GTPPM (Korea) (J. Jeong & G. Lee 2010) is shown in Table
1. This table identifies the types of BIM Models used and the ways of interpreting Building
Codes that these seven code-checking systems adopt (Shih & Sher 2012). The key
attributes of BIM Models and Building Codes are described below.
BIM Models: BIM data may be exported to code-checking applications in various formats
such as IFC and Step (buildingSMART 2010). These provide geometric information
(including points, lines and polygons) that code-checking applications may be instructed to
interrogate. The BIM models of all code-checking systems shown in Table 1 adopt IFC-

161

Table 1 Comparison between code checking systems


Singapore:COREN
ET

Norway: Statsbygg

United States: ICC

Australia:
DesignCheck

Portugal: LicA

Canada: ACCBEP

Korea: GTPPM

Target rules

Building code

Accessibility

Building code

Disabilities
(AS1428.1)

Water system

Building envelope

Fire resistance

Checking platform

FORNAX

SMC

DAs
SMART
codes for SMC,
XABIO

EDM

LicA

Rule Engine

Checking engine

YES

YES

YES

YES

YES

YES

YES

YES,
Adding
geometry data

YES, using DAs


SMART codes for
SMC, XABIO

YES, using internal


model schema to
define objects and
properties

NO

NO

YES

NO

NO

YES,
using
LicAXML to create
XML-based model

YES, XML-based
model

NO

YES

YES

YES

YES

Rule-based
language

XML-based
parametric Tables

XML
based
Decision Tables

Computer code

(Lan Ding et al.


2006)

(Martins
Monteiro 2013)

(Tan et al. 2010)

(J. Jeong & G. Lee


2010)

BIM Models
Using
model

IFC-based

Add new properties


using
enhanced
objects

YES,
FORNAX

Export
properties
format

NO

NO

YES

YES

to

IFC
new

called

Building codes
Translating
programmer

by

Employs predicate
logic or similar
derivation process

YES

YES

Rules coded in

Computer code

Parametric Tables

SMART
builder

Reference

(Khemlani 2011)

(Sjgren 2007)

(ICC 2006)

code

&

162

based format for communication with rule engines. Furthermore, LicA and ACCBEP have
highlighted the creation of software components to extract the required information from IFCbased BIM models or to integrate IFC models into a new digital schema (e.g. ifcXML format)
(Martins & Monteiro 2013; Tan et al. 2010). XML schemas are able to store and manage
properties and definitions extracted from IFC files in the XML format, thereby enhancing
exchangeability across applications.
Building Codes: The context and content of building codes need to be defined in logical
and readable ways so that they can be related to the BIM data being checked. This involves
an interpretation process where the semantic structure of each regulation is translated into
rules or parametric tables. These are then interrogated and acted upon by bespoke
software. Although the outcomes of these code-checking systems are similar, the techniques
are varied between them (such as computer code, parametric tables, XML-based parametric
tables). Among these systems, Statsbygg, LicA and ACCBEP advocate the use of XMLbased parametric tables because this approach provides users with the flexibility to modify
software rules without the input of professional programmers (Sjgren 2007; Martins &
Monteiro 2013; Tan et al. 2010). To date, DesignCheck (developed in 2005) is the only
application that is specific to Australia. It checks for compliance against the disability codes
incorporated in Australian Standard AS1428.1 of the Building Code of Australia (BCA) (L.
Ding et al. 2004; Lan Ding et al. 2006). Although DesignCheck provides an advance in code
compliance technology for the Australian construction industry, some challenges remain. For
example, the IFC objects that are constructed and / or assembled can vary between
software vendors. In addition, rule-based engines are used to interpret the building code and
it is difficult for designers and/or non-computer experts to change the rules. Furthermore,
DesignCheck focuses solely on disability compliance, with rules for other sections of the
BCA yet to be developed. Finally, DesignCheck has no facilities for presenting checking
reports in a visual format while visual information has potential to improve the design
awareness and cognition (Gu et al. 2007).
The code-checking systems noted in Table 1 have significantly improved the efficiency and
accuracy of code checking processes for governing bodies (e.g. CORENET has been used
throughout Singapore for the compliance of building designs). However, some studies have
investigated additional advantages of these systems. For example, there is merit in
integrating code-checking into the design process (Rogers 2012; L. Ding et al. 2006). We
are thus attempting to develop a framework for a code-checking system that is specific to
Australia and will facilitate designers in various phases of the design process. This
framework will target the compliance of commercial buildings with fire codes set out in the
BCA. Fire codes provide a useful vehicle for such a framework because they demonstrate
the integrated nature of design. Compliance requires close relationships between design
geometry and the ways in which designs are interpreted to satisfy the rules contained within
the code. This paper focuses on the interpretation of building codes to inform the
development of Australian code-checking systems.

163

3. The requirements of fire code checking


The BCA, part of the National Construction Code (NCC), consists of various codes included
in Volume One (Class 2 to Class 9 buildings) and Volume Two (Class 1 and Class 10
buildings) (Australian Building Codes Board 2010). The Australian Building Codes Board
(ABCB), the main body responsible for the BCA, states The goal of the BCA is to enable the
achievement of nationally consistent, minimum necessary standards of relevant, health,
safety (including structural safety and safety from fire), amenity and sustainability objectives
efficiently. (http://www.abcb.gov.au/)
The fire resistance of commercial buildings (class 5 to 9) is regulated through section C of
the BCA Volume 1. Fire resistance deals with fire resisting construction,
compartmentalisation of buildings into fire resisting cells and the protection of openings in
elements that are required to be fire resisting. Section C also contains a performance
hierarchy including deemed to satisfy (DTS) provisions, alternative solutions and the
combinations of both of these methods. However, alternative solutions or combined methods
vary from project to project. This study therefore focuses on the deemed to satisfy
provisions.
Ensuring the safety of building occupants by catering for the eventuality of fire is most
important for certifiers and developers. This involves complex procedures including the
identification of fire codes for each building project. Initially a building class needs to be
selected, followed by an assessment of fire ratings. Finally, building designs need to be
checked to ensure they are in accordance with the codes relating to the assessed fire
ratings. The following sections of this paper introduce the ways that each procedure is
applied in BIM-enabled code-checking systems.

3.1 Building classes


Fire code requirements vary from building to building. The building classifications in Table 2
need to be evaluated first so that building designs can be checked against appropriate fire
codes. The classes shown in Table 2 can generally be divided in two main groups:
residential buildings (Class 1 to Class 4) and non-residential buildings (Class 5 to Class 10).
The latter includes commercial buildings from Class 5 to Class 9. The determination of
building classes is a challenge for code-checking systems because the proposed use of a
building is technically difficult to determine. Although the information embedded in BIM
models can represent the characteristics of geometric objects (such as walls, doors etc.) and
the functions of spaces (such as meeting rooms, parking spaces etc.), it is challenging to
provide criteria which will allow code-checking systems to identify the use of buildings. For
example, a building consisting of meeting rooms can be used for many different purposes
(e.g. an office or a laboratory). A pragmatic solution is to require users to manually define the
class of building. This means users need to identify the class of buildings manually before
code-checking commences.

164

Table 2 Classification Summary of Buildings and Structures defined in the BCA


Class
Class 1

Class 2
Class 3

Class 4
Class 5
Class 6
Class 7
Class 8
Class 9

Class 10

Definitions
A single dwelling being a detached house, or one or more attached dwellings, each
being a building, separated by a fire-resisting wall, including a row house, terrace
house, town house or villa unit.
Class 1b
A boarding house, guest house, hostel or the like with a total area of all floors not
exceeding 300m2, and where not more than 12 reside, and is not located above or
below another dwelling or another Class of building other than a private garage.
A building containing 2 or more sole-occupancy units each being a separate dwelling.
A residential building, other than a Class 1 or 2 building, which is a common place of long term or
transient living for a number of unrelated persons.
Example: boarding-house, hostel, backpackers accommodation or residential part of a hotel,
motel, school or detention centre.
A dwelling in a building that is Class 5, 6, 7, 8 or 9 if it is the only dwelling in the building.
An office building used for professional or commercial purposes, excluding buildings of Class 6, 7,
8 or 9.
A shop or other building for the sale of goods by retail or the supply of services direct to the public.
Example: caf, restaurant, kiosk, hairdressers, showroom or service station.
Class 7a
A building which is a car park.
Class 7b
A building which is for storage or display of goods or produce for sale by wholesale.
A laboratory, or a building in which a handicraft or process for the production, assembling, altering,
repairing, packing, finishing, or cleaning of goods or produce is carried on for trade, sale or gain.
A building of a public nature Class 9a
A health care building, including those parts of the building set aside as a
laboratory.
Class 9b
An assembly building, including a trade workshop, laboratory or the like, in a
primary or secondary school, but excluding any other parts of the building that are
of another class.
Class 9c
An aged care building.
A non-habitable building or structure Class 10a
A private garage, carport, shed or the like.
Class 10b
A structure being a fence, mast, antenna, retaining or free standing wall, swimming
pool or the like.
Class 1a

(Source from: Australian Building Codes Board 2010)

3.2 Fire ratings


In determining the fire code requirements for a commercial building it is necessary to assess
the appropriate type of fire resisting construction for that building. There are three types of
construction, being type A (the most fire resistant), B and C (the least fire resistant)
(Australian Building Codes Board 2010). In addition to the aforementioned classification, the
required type of fire resisting construction is determined based on the rise in storeys, floor
area and volume of that building. The first step is determining the preliminary type of
construction through the use of a building classification and rise in storeys. Table 3 (source
from BCA Table C1.1) shows the types of construction required.
Table 3 Rise in Storeys X Class of building.
Rise in storeys

Class of building
2, 3, 9

5, 6, 7, 8

4 or more

(Source from: Australian Building Codes Board 2010)

165

The next step in determining the fire code requirements of a specific building is to check the
floor area and volume against the building classes. Table 4 (source from BCA Table C2.2)
shows that the size of any fire compartment or atrium in a Class 5 to 9 building must not
exceed the relevant maximum floor area or the relevant maximum volume (floor area times
internal height). In terms of measuring the floor area of a fire compartment in a BIM model,
some important properties need to be defined: heating, ventilation, lift equipment, water
tanks, or similar service units are not counted. The volume of the target space is required to
be calculated because it effectively relates to the fire load. In the manual certification
process, certifying authorities normally use the average ceiling height or average height to
the underside of trusses to calculate the volume. BIM-enabled code-checking systems can
improve the accuracy of these measurements when BIM models are correctly defined. After
checking the building classifications, storeys, floor areas and volume, the required type of
construction (fire ratings) can be generated, followed by checking the BIM model according
to the appropriate fire codes. The methods of interpreting fire codes are discussed in the
next section.
Table 4 Maximum size of fire compartments or atria
Type of construction of building

Classification

Type A
5, 9b or 9c aged care building

6, 7, 8 or 9a (except for patient care


areas)

Type B
2

Max floor area -

8 000 m

Max volume -

48 000 m

Max floor area -

5 000 m

Max volume -

30 000 m

5 500 m
3

33 000 m
3 500 m

Type C
2

3 000 m
3

21 000 m

18 000 m
2 000 m

2
3

12 000 m

Note: See C2.5 for maximum size of compartments in patient care areas in Class 9a health care buildings
(Source from: Australian Building Codes Board 2010)

3.3 Interpretation of fire codes


Most building-related codes and regulations are presented as well-structured documents.
However their semantic complexities make it difficult to devise rules that accurately
represent code clauses and the subtleties of their meaning. To address this challenge,
several studies have developed different methods of analysing the characteristics of
regulations or codes. In this section, two practical approaches for interpreting building codes
are described.
3.3.1 RASE semantic rules (Hjelseth & Nisbet 2010)
This semantic approach enables AEC professionals to develop rules that can be applied to
the semantic content of IFC-based BIM models. The general rules contained in regulations
consist of more than one check that typically represents a section of a regulation. A check
can be analysed into four constructs: Requirement, Applicability, Selection and Exception
(RASE). Requirement is related to the imperatives Shall or Shall Not, and a check needs

166

to contain at least one requirement. Some specific texts are identified as the Applicability of
the check. For instance, internal walls compound the internal and walls concepts. The
construct Selection is similar but distinct from Applicability, which is used for alternative
subjects (e.g. doors, windows and other openings). The last construct, Exception, is the
opposite of the Applicability. These can be summarized as a regulation that includes more
than one check and each check contains a number of the four constructs described above.
The formulations and an example clause are shown as below (Table 5):
Table 5 RASE formulations and examples
Formulations:

Check: C0 = R0 or NOT A0 or NOT S0 or E0


Regulation: Regulation0 = C0 and C1 and C2Cn

Example Clause:
(ICC IECC 2006
502.5 Moisture
control)

All framed walls, floors and ceiling not ventilated to allow moisture to escape shall be
A
S
S
E
provided with an approved vapour retarder having a permeance rating of 1 perm or
R
R

Legend: R Requirement; A Applicability; S Selection; E Exception; C Check


(Adapted from: Hjelseth & Nisbet 2010)

3.3.2 Dialogue Language (DL) (Omari & Roy 1993)


According to Omari and Roys (1993) study, a Dialogue Language (DL) has been developed
to interpret Life Safety Codes (LSC) for Australia in an expert system. It adopts a consistent
interpretation to represent the code clauses as well as the interactions between users and
the expert systems. The DL provides systematic structures that organize the hierarchical
dialogue of codes. These structures contain eight primary items (Table 6). Among them, the
comment is used to explain the semantic meaning of the clause text. It is related to the
object defined by the code violation and assists in explaining the noncompliance of the
building design to the codes. Figure 1 provides an example of the structure of a building
code using the DL approach.
Table 6 the components of Dialogue Language (DL) structure
Dialog_id
Parent_id
Code_violation
Clause
Condition
Action
Comment

Dependency

An identifier which references a dialog.


An identifier which points to the dialog from which the current dialog was referenced.
The id of the object to which evaluation error messages are to be attached.
The actual text of the clause from the BCA which is embodied within the current dialog.
The DL interpretation of the conditions which must be satisfied for this dialog to be applicable.
The DL interpretation of the actions to be carried out if the conditions for application of the
dialog are met.
An explanatory note which describes the reasons for the application of this dialog. This field is
primarily to indicate to the user, why a particular dialog has failed, in simpler terms than can
normally be available from the raw code clauses. This text field is attached to the frame
identified by the Code violation field to indicate non-conformance of building model elements of
the BCA.
A list of property value identifiers which is used during the evaluation of a dialog. This field can
be used to indicate the values of the properties used by the dialog. As such they provide a
reference by which the user can determine the exact property which is not valid.
(Adapted from Omari & Roy 1993)

167

Figure 1 An example of relationships between DL elements


(Source from Omari & Roy 1993)

3.4 Discussion
The DL provides a clear structure that enables users to manage the hierarchical building
codes and their interactions with BIM models. In addition, the hierarchical structure of the
codes can assist in generating meaningful reports for designers. The RASE approach
emphasizes the semantic logic of code clauses thereby enhancing the in-depth analysis of
DLs clause and comment. Therefore, this study will adopt a combination of these two
approaches as the primary tool for interpreting fire codes in our code-checking system. This
will support the use of XML-based parametric tables. In addition the definition of conditions
will be conducted logically using the semantic theory approach described above. Besides the
straightforward rules within the building code, cross-reference rules, which result from the
exceptional descriptions in the regulations, can be represented in decision tables. An XMLbased parametric table provides a flexible mechanism to represent complex temporal data,
and can be used to express the logic of building codes and their dependency (Noh & Gadia
2006).
Several significant challenges need to be overcome when defining the information that
needs to be extracted from BIM models to allow for code-checking. The definitions of BIM

168

models vary between software vendors. The ifcXML schema is beneficial in communicating
information with XML-based interpretation of building codes. Some studies report the use of
Enhanced Objects to add information to BIM models (Sjgren 2007; Lan Ding et al. 2006),
although this requires designers to spend additional time and effort on this task.
It is important to note that we focus on the deemed to satisfy provisions of the BCA.
However, assessing the compliance of building projects that require alternative solutions
presents additional difficulties, particularly with commercial buildings. Alternative solutions
are necessarily varied, having to accommodate the peculiarities of different performance
requirements. Opportunities exist for relevant cases to be collected and arranged in a
database as reference for future projects.
Finally, many studies have noted that BIM and its applications have the potential to improve
collaboration between team members. The implementation of BIM-enabled code-checking
systems for Australian construction industries is expected to enhance the collaborative
performance of designers and certifying authorities. Further research into assessing the
effectiveness of these collaborations would be beneficial.

4. Conclusion
This paper has provided an overview of existing BIM-enabled code-checking systems. It has
identified the challenges of using BIM models and interpreting fire codes of the BCA.
Moreover, the procedures involved in assessing the extent to which designs comply with fire
codes have been investigated to inform the development of approaches of translating
building codes into XML-based tables. This provides a foundation for the development of
code-checking systems using BIM to assess compliance with the BCA. Not only do codechecking systems have the potential to enhance designers awareness of building codes,
they have the potential to improve collaboration and communication among project
stakeholders.

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Automated Building Code Compliance Checking


Where is it at?
Johannes Dimyadi1, Robert Amor2
Abstract
There has been an extensive amount of research conducted internationally over the last four
decades in the area of automated and semi-automated regulatory compliance checking for
the Architecture, Engineering, and Construction (AEC) industry. This paper summarises the
earlier research initiatives, explores common themes and different approaches used, as well
as comparing the strengths and limitations of a number of major code compliance checking
tools. Some of these tools have been implemented commercially and others are beginning
to be adopted or are in their final stages of development. The paper also examines how
readily these tools can be applied in the context of a performance-based code as found in
New Zealand.
Due to a recent push for innovation and productivity improvement in the AEC industry, there
is an increased uptake of building information modelling (BIM) and the Industry Foundation
Classes (IFC) open standard data model for interoperability. The availability of high
performance personal computers, efficient web-based technology, and new initiatives in
legal knowledge representation modelling should make the development of commercial
compliance checking systems more viable than ever. However, the quest for an industry
agreed unified approach seems to be far from over.
Research is being conducted to develop a computer interpretable representation of New
Zealands performance-based codes using an open standard legal data exchange protocol.
This is to be integrated into a web-based BIM compliance checking framework. The fire
safety clauses of the New Zealand Building Code (NZBC) are used in the case study.
Keywords: building information modelling (BIM), industry foundation classes (IFC),
automated compliance checking, performance-based code, standards representation

1. Introduction
We live in a built environment designed around rules to ensure our safety and well-being. A
building is subject to multiple regulatory compliance assessments throughout its entire life.
As part of the design process, building designers ensure that every aspect of their design
adheres to various regulatory requirements. The design is then subject to formal audit by the
consent processing authority as part of the approval process. During construction and

1
2

PhD Researcher; Dept of Computer Science; University of Auckland; jdim006@aucklanduni.ac.nz


Professor; Dept of Computer Science; University of Auckland; trebor@cs.auckland.ac.nz

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commissioning, every building component is checked before and after installation to ensure
that the quality of products and workmanship conforms to the specified standards. The
facility management of a building also requires regular compliance audits to ensure that the
building is used and maintained as required and as designed. Even at the demolition stage,
compliance checking is vital to ensure safety of occupants in the neighbouring buildings and
to protect the surrounding environment during the work. In New Zealand, these codes are
performance-based.
The conventional practice of code compliance checking in the industry has largely been a
manual process, which is laborious, costly, and error prone. There have been numerous
attempts over the last three decades to automate the process, but the progress has been
slow. The fragmentation and diverse nature of the industry, complex network of
stakeholders, competitiveness, declining productivity and a lack of motivation to adopt new
technology have certainly contributed to this (El-Diraby and Kinawy, 2008; Froese et al.,
2007; Masterspec - Construction Information Ltd, 2012).
The ability to share and interoperate pertinent information efficiently between the
stakeholders in a building project (e.g. architects, engineers, project managers, contractors,
building owners and local authority) is a key ingredient for an automated compliance
checking system. The need for interoperability in the industry has long been identified
(Gallaher et al., 2004; Halfawy et al., 2002), but it has remained as a challenge. The cost of
inadequate interoperability in the US capital facilities industry was quantified by NIST in 2004
to be US$15.8 billion annually (Gallaher et al., 2004). This is equivalent to around NZ$295
million annually for commercial and residential construction projects in New Zealand.
Research by Business and Economic Research Limited (BERL) in association with Building
Research Association of New Zealand (BRANZ) and Price Waterhouse Coopers (PWC) has
shown that a 10% change in efficiency in the construction sector would bring about a 1%
change in GDP. Also, as the industry makes up 8% of the economy a 1% gain in the
productivity is worth NZ$300 million in annual GDP improvement (Nana, 2003). This has
been a motivation for the recently established governments initiative Building and
Construction Productivity Partnership that aims to increase the productivity in the industry
by 20% by 2020 (Page and Curtis, 2012), which is a potential saving of about NZ$6 billion
per annum (Masterspec - Construction Information Ltd, 2012). One of the first undertakings
in this initiative is the New Zealand national on-line consenting system currently being
developed, which could utilise a code compliance checking system.

1.1 Research Methodology


The techniques of Systematic Literature Review (SLR), or Systematic Review (SR), have
been used to help identify the available primary studies relevant to this research topic.
Borrowing the PICOC (Population, Intervention, Comparison, Outcome, Context) criteria
from the medical SR guidelines (Kitchenham and Charters, 2007), a search strategy was
developed. Using these criteria with references gathered from several main primary studies,
a set of keywords were derived for use in literature searches. A total of about 320 relevant
references spanning across 40 years have been identified. Some of the more significant

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primary studies identified and their influences have been presented in a timeline (Figure 1).
The development of personal computers, internet technology and CAD systems are plotted
as a background reference.

Figure 1: Timeline of International Research into Code Compliance Checking

2. Regulatory Framework for AEC industry in New Zealand


The regulatory framework for the AEC industry in New Zealand consists of the Building Act
2004, which is the official legislation; Building Regulations, which are made under the Act;
and the NZBC, which is part of the Building Regulations (Merry and Spearpoint, 2008).

2.1 Compliance with NZBC


NZBC is a performance-based code and consists of two preliminary clauses and 35
technical clauses covering aspects such as fire safety, structural stability, health and safety,
access, moisture control, durability, energy efficiency, services and facilities. Each technical
clause specifies functional requirements as well as qualitative or quantitative performance
criteria to which the completed building and its components must conform throughout its
intended life. A performance-based code does not prescribe how a design and construction
process should be carried out, but instead allows for innovation and uniqueness in designs,
which must be proven by established scientific and engineering principles.
There are two ways to comply with the NZBC, namely the Acceptable Solution or deemedto-satisfy solution, which shows full compliance with the relevant prescriptive requirements of

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the accompanying compliance documents, and the Alternative Solution by means of a


proven engineering design, which usually involves calculations and/or simulations as well as
an external design review process.

3. Automated Compliance Checking


A common approach to automated compliance checking is systematic comparison, i.e.
comparing each object or system in a building model representation with the constraints in a
standard. The output is usually a list of non-conformant objects.
A major challenge has been the quest for suitably practical digital representations of both the
building and the standards (Nawari, 2012). A few factors attributed to the slow progress have
been the unavailability of an industry standard data model specification and the lack of
computing power. Another contributing factor is the complexity in representing regulatory
texts as computable objects (Drogemuller et al., 2000; Moulin, 1992) and there has been
little research contribution in this regard from the legal domain until recently.

4. Building Model Representation


CAD has been used to represent a building two dimensionally since the early 1960s. It has
since developed into a 3D representation tool through systems such as RUCAP, Sonata,
REFLEX, as well as ArchiCAD and AutoCAD, and now shifted into object-based Building
Information Modelling (BIM) paradigm (Eastman et al., 2011).
The emergence of BIM technology and the IFC open data model specification for
interoperability has provided a reasonable method and a generally agreed protocol for the
digital representation of a building. IFC2x4, or IFC 4, is the latest model specification that is
currently being accepted as International Standard ISO 16739 (Liebich, 2010).

5. Standards Representation
Researchers have spent a lot of effort in formulating an ideal digital representation of
regulatory requirements for compliance checking applications. Most of the research focused
on encoding prescriptive regulations and their derivatives as rules in knowledge-based
systems. One important early attempt was the implementation of decision tables in 1969 with
the AISC (American Institute of Steel Construction) Specifications. The decision logic tables
approach lends itself well to a procedural standard such as the AISC Specifications. This
was implemented as a design tool for steel structures for at least 15 years (Fenves et al.,
1969). Further work in this area resulted in the development of SASE (Standards Analysis,
Synthesis and Expression) model by US National Bureau of Standards (now NIST) in 1984,
which was one of the most significant early standards representation systems. SASE was
implemented to manage the creation and maintenance of the decision tables and structure
of the standards (Fenves et al., 1995; Lopez et al., 1989).
Throughout the 1980s, there is evidence of different approaches being investigated to
computerise building regulations in various parts of the world (Vanier, 1989). One approach

175

was hyper-document modelling and the use of hypertext to represent regulatory provisions
(Turk and Vanier, 1995; Vanier, 1989), which was the state of the art at the time. The
concept of marking-up regulatory texts to create a computable representation has been
revisited in a more recent work (Hjelseth and Nisbet, 2011; See, 2008).
Knowledge-based and expert systems were popular throughout the 1990s. They provided
methods to encode regulatory information for use in design (Eastman et al., 2009; Frye et
al., 1992; Mugridge et al., 1996; Rosenman and Gero, 1985), which is useful as long as the
underlying knowledge-base is kept up to date with the current regulatory provisions. Despite
the inherent inefficiency and the reliance on manual updates, the investigations into
automated or semi-automated extraction of information from regulatory texts into rules and
other computable objects have continued until today (Hjelseth, 2012; Kiyavitskaya et al.,
2007; Zhang and El-Gohary, 2011, 2012).
A noted trend during the 1990s is the hard-coding of regulatory criteria into engineering
design and analysis software suites (Fenves et al., 1995). This black-box approach of code
representation has received a lot of criticism due to its non-transparency and inflexibility to
regulatory changes. However, this practice has continued until today, although to a lesser
extent, e.g. some hard-coded criteria are now provided with customisable parameters.
Creating an independent representation that derives data from legal sources maintained by
a third party is far from ideal, unless it is linked to the source data and there is an automated
update process in place. Otherwise, the representation would need to be manually updated
to reflect the current status of the source documents, which are subject to on-going changes.
In the absence of an ideal digital representation of standards and regulations for the
industry, the quest for a better interim solution continues. There have been projects using
object-oriented and constraint-based approaches, as well as applying industry specific
taxonomies and ontologies in combination with Artificial Intelligence (AI) and Natural
Language Processing (NLP) techniques to allow machines to interpret regulatory texts
(Cheng et al., 2008; Zhang and El-Gohary, 2011). Semantic modelling and the application
of deontology, deontic logic, and Computational Law with NLP on an underlying domain
ontology has also been explored (Salama and El-Gohary, 2011). The use of Description
Logic (DL) languages, which is based on a concept developed in the late 1970s (Hakim and
Garrett, 1993), was also investigated to allow automated description of engineering design
knowledge as comparable objects. This concept was further improved with Typed Feature
Structure (TFS) techniques by researchers in Australia (Woodbury et al., 2000).
Regulatory texts are generally not written for machine interpretation and the effort put into
making that a possibility has not been very successful so far. Furthermore, standards and
building regulations often consist of complex multiple inter-related documents that are poorly
structured and subject to frequent amendments, which is challenging for automation.
Provided that any standards representation can be linked to the source legal documents, AI
and NLP techniques may provide a method of keeping the representation up-to-date by
automatically capturing and incorporating any changes. However, an agreed data exchange

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protocol, that seems to be the current gap, would greatly facilitate this. The International
Code Council (ICC) that develops model codes in the US took an initiative and filled the gap
by producing SMARTCodes in 2006 containing official representations of a few important
standards. SMARTCodes provided the legislative body with an authoring tool to manage the
amendments of the codes. Unfortunately, SMARTCodes development ended in 2010 due to
a lack of funding. The underlying mark-up concept used by SMARTCodes has been further
developed by AEC3 (UK) Ltd (Hjelseth, 2012). It is pertinent, however, that the application
role remains with the legislative body, otherwise any representative standard created by the
end user would require manual amendment every time the source information is updated.
Recently, there have been independent investigations undertaken by the legal domain in the
field of legal informatics, legislation modelling and digital representation of regulations (Vitali
and Zeni, 2007). These works are originally intended to facilitate the legislation process and
providing easier public access to the legal resources, e.g. Crown Legislation Markup
Language (CLML) of UK. However, recent work also includes some useful new initiatives in
the legal data exchange protocol, e.g. Legal Knowledge Interchange Format (LKIF) and
LegalRuleML which is being standardised by the Organisation for the Advancement of
Structured Information Standards (OASIS) as an open standard data model.
As indicated earlier, a computer interpretable standard representation should ideally be
published and maintained by the government department responsible for producing the
standards. The UNs e-Government initiative, which is being adopted around the world
including New Zealand, provides a good platform for that purpose. In combination with the
open standard legal data interchange initiatives and the work undertaken by OASIS, this
may provide the solution the industry has been seeking for several decades.

6. Compliance Checking Applications pre-2000


This section reviews some of the early applications developed using data representations
discussed in previous sections. The successful implementation of AISC Specifications in
1969 as a network of decision tables motivated a number of developments well into the
1980s. Examples include an advanced 3D graphical CAD system known as STEEL-3D for
the design of steel frames to AISC Specifications (Pesquera et al., 1984), a software tool
developed at Carnegie Mellon University for the design of reinforced concrete beams
(Noland and Bedell, 1985), an automated compliance checking system developed at
University of Austin (Jaeger and Harelik, 1985), and computerised building standards
research at VTT Finland (Khknen and Bjrk, 1987).
Following the successful implementation of SASE, two compliance checking applications
were developed. SICAD (Standards Interface for Computer Aided Design) incorporates oneway mapping functionality to assist the user to navigate, evaluate and extract required
information from standards. Missing or incomplete data is managed by additional inputs from
the user. This was implemented successfully as a design tool with AASHTO Bridge Design
System and used for several years (Lopez et al., 1989). The Standards Processing Expert
(SPEX) was another software application developed in 1986 based on SASE as a

177

knowledge-based system to determine conformance of component materials, structural and


geometric properties with the design standards (Delis and Delis, 1995).
The application of Artificial Intelligence (AI) techniques were explored by researchers in
Australia in the mid 1980s. They came up with a prototype expert system called BUILD
(Rosenman and Gero, 1985) as a proof of concept. Some of these techniques were later
used in the development of BCAider and DesignCheck (Ding et al., 2006).
In New Zealand, research into the application of expert systems in this domain saw the
development of FireCode in 1987, which was used to check design conformance with a draft
prescriptive Fire Safety Code. Other related software applications developed included
Seismic for checking building design against earthquake and wind loading requirements,
WallBrace to assess compliance with light timber-framed building standards, an objectoriented system ThermalDesigner for checking conformance of a residential building with
the Thermal Insulation Code in 1992, and the ALF spreadsheet tool for conformance
checking with thermal insulation standards for residential buildings (Amor, 1992).
In the US, Life Safety Code (LSC) Advisor (1988), a rule-based compliance checking tool
was developed for auditing architectural plans against the prescriptive requirements of LSC
(known as NFPA 101) that regulates building design for life safety and fire protection. LSC
Advisor was later extended and developed into an expert-system Fire Code Analyzer (FCA),
at Massachusetts University around 1991. FCA is closely related to SICAD and uses a
frame-based architectural model representation, a set of rules as well as some geometric
algorithms (Delis and Delis, 1995). EXPOSURE, an expert system version of NFPA80a was
also developed around this time for fire protection design of building exteriors (Smith, 1991).
iCADS (Intelligent Computer-assisted Design System) was another expert-system example
developed around 1990 with an extended knowledge-base covering space layout, structural
system selection, day-lighting, artificial lighting, noise insulation, climate control and energy
conservation, and construction costs. It incorporated a CAD system, a geometry interpreter,
a relational database and an expert design advisor (Myers et al., 1992).

7. Compliance Checking Applications post-2000


Since the emergence of the IFC open data model, we have seen the development of several
important tools that are being used today, namely Express Data Manager (EDM) Suite (now
incorporating EDMmodelChecker), Solibri Model Checker (SMC), Fornax plan checking tool,
Avolve plans review, Design Data System (DDS), etc.
In 1995, the Building Construction Authority (BCA) of Singapore initiated the CORENET
(Construction and Real Estate Network) electronic consent submission system incorporating
an in-house developed Building Plans (BP) Expert System to check 2D plans for
compliance. The system was upgraded in 2002 to CORENET e-Plan Check replacing the 2D
BP Expert System with the 3D IFC data model (Khemlani, 2005).

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Express Data Manager (EDM) Suite was developed by Jotne EPM Technology in Norway in
1998 as an object database with tools to manage complex Product Data Models. It started
out as a collaboration tool, but has since incorporated several additional modules including
EDMmodelChecker that supports open development using the EXPRESS data modelling
language (ISO 10303-11) (Yang, 2003).
BCAider was an expert system released in 1991 by the Commonwealth Scientific and
Industrial Research Organisation (CSIRO) in Australia. It was commercially available for
compliance checking against the Building Code of Australia (BCA) until 2005. In 2006,
CSIRO announced DesignCheck, a new system that incorporated EDM as the core rule
bases and compliance checking engine for the BCA (Ding et al., 2006). DesignCheck has
not been used commercially and it appears that there is no plan for further development.
Solibri Model Checker (SMC) was developed in Finland in 2000 and started out as a BIM
model quality assurance and validation tool, but has since developed into a stand-alone
graphically-driven rule-based compliance checking and reporting application. SMC has a set
of built-in rules that can be managed by a ruleset manager. A ruleset can be replicated, but
the extent of user customisation is limited to changing parameters (Eastman et al., 2009).
The US Department of Energy produced and published ResCheck (Residential Compliance)
and ComCheck (Commercial Compliance) to allow anyone to check a building design
against the applicable energy standards, e.g. IECC and ASHRAE Standards 90.1. Both of
these compliance checking applications have all the standards criteria hard-coded into the
tools, although managed by the government department that have control over any
amendment to the standards (Halverson et al., 2009). Similarly, the US GSA (General
Service Administration) Courts Design Guide automation project also incorporates an
independent ruleset manually derived from the textual standards (Eastman et al., 2009).
An expert system of the nineties that has survived the test of time is Design++. It has been
developed into a knowledge-based design automation tool in conjunction with BIM.
Design++ has been incorporated into a number of commercial products including Bluethinks
House Designer. Apart from giving advice to designers based on the evaluative rules, this
system can also incorporate a set of generative rules for creating objects automatically
(Huuskonen and Kaarela, 1995). Again, the rulesets are encapsulated into the application
and can only be managed within the application.
One of the latest efforts reported is the collaborated project between ICC, Solibri and Fiatech
together with a few other software companies to develop AUTOCodes. This is currently a
prototype system that promises an integrated compliance checking capability for the US
building model codes (Fiatech, 2012).
All of the approaches discussed so far, including current commercial systems, appear to
have one thing in common. They all use an independent regulatory data representation
either directly or via other dependent systems, and the representation is hard-coded into the
system and is subject to manual updates by the software developers. For example,

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CORENET e-Plan is using the Fornax library in conjunction with EDM that has regulations
and additional rules hard-coded in EXPRESS.

8. Performance-based Code Compliance Checking


In contrast to earlier approaches the development of a software tool is being investigated to
assist with converting NZBC Clauses C1 to C6 Protection from Fire into a set of rules using
one of the open standard legal data exchange formats such as LegalRuleML or LKIF.
Adopting an open standards specification allows revisions to be easily assimilated into an
existing representation without the need to reconstruct it. Both the prescriptive requirements
and quantitative performance criteria are to be represented in this way.
In the intended framework, the compliance checking component would read an IFC-based
building model and audit the model against a selected set of open standard constraints. For
clauses requiring subjective qualitative performance, the user can select a data exchange
schema to allow the system to interact with external calculation or simulation modules. The
returned result of the calculation can then be checked against the selected performance
criteria either qualitatively or quantitatively.

9. Conclusion
Most of the research on automated compliance checking has focused on procedural
standards and prescriptive regulations as they tend to be easier to manage and code (Yang
and Li, 2001). Where research has examined performance-based codes, consideration was
mainly given to the prescriptive parts of the codes (Han et al., 1998; Han et al., 2002;
Hjelseth, 2012). Compliance checking against qualitative and quantitative performance
criteria can be achieved semi-automatically using a combination of human input and data
exchange with calculations or simulations modules. Unfortunately, there is little research in
this particular area. The current research attempts to fill this gap in the context of New
Zealands performance-based codes.
Based on the New Zealand National BIM Survey 2012, there is a strong trend of rapid
uptake of BIM in the industry. However, there is a noted lack of agreed industry-wide
protocols, tools and frameworks for interoperability (Masterspec - Construction Information
Ltd, 2012). The initiative taken by the ICC with SMARTCodes and AUTOCodes is a positive
step in this direction, but these systems still employ embedded rules that would require
manual updates and maintenance in response to codes changes. As legal knowledge is
being converted into digital resources for interoperability by officials in the legal domain,
adopting an open standard legal data model may alleviate the need to maintain yet another
set of rules. Revisions of standards can simply be imported into the system as an update to
existing representations. In view of the general direction taken by standards authorities in
various jurisdictions around the world to adopt a standard legal data exchange protocol, any
attempt in the interim to represent standards and regulations for the purposes of computerassisted compliance checking may benefit from investing in an open standard protocol
offered by the legal domain such as those currently being developed at OASIS.

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10. Acknowledgement
The first author gratefully acknowledges assistance from the Building Research Levy for his
research.

11. List of Acronyms


AI: Artificial Intelligence
AISC: American Institute of Steel Construction
BCA of Singapore: Building Construction Authority of Singapore
BERL: Business and Economic Research Limited
BP Expert System: Building Plans Expert System
CLML: Crown Legislation Markup Language
ComCheck: Commercial Compliance Checker
CORENET: Construction and Real Estate Network
CSIRO: Commonwealth Scientific and Industrial Research Organisation
DDS: Design Data System
DL: Description Logic
EDM: Express Data Manager
FCA: Fire Code Analyzer
GDP: Gross Domestic Products
GSA: General Service Administration
iCADS: Intelligent Computer-assisted Design System
ICC: International Code Council
IFC: Industry Foundation Classes
LKIF: Legal Knowledge Interchange Format
LSC: Life Safety Code
NIST: US National Institute of Standards and Technology
NLP: Natural Language Processing
NZBC: New Zealand Building Code
OASIS: Organisation for the Advancement of Structured Information Standards
PICOC: Population, Intervention, Comparison, Outcome, Context
PWC: Price Waterhouse Coopers
ResCheck: Residential Compliance Checker
SASE: Standards Analysis, Synthesis and Expression
SICAD: Standards Interface for Computer Aided Design
SLR: Systematic Literature Review
SMC: Solibri Model Checker
SPEX: Standards Processing Expert
SR: Systematic Review
TFS: Typed Feature Structure

181

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185

IS THE AGE OF FACILITY MANAGERS PAPER


BOXES OVER?
Pouriya Parsanezhad1, Vino Tarandi2
Abstract
Seamless and accurate hand-over of building information is a major bottleneck in promoting
an automated facilities management (FM) practice and an integrated and life-cycle-oriented
construction. Few Building Information Modelling (BIM) tools have so far been developed
specifically for facility managers. Current data input methods applied for conventional
Computerized Maintenance and Management Systems (CMMS) are prone to duplicate
information entries and information loss. Such an approach to data management builds up
additional costs and seriously hampers fulfilment of environmental goals.
In search of a thorough acknowledgement of both technical and process-based
requirements for dealing with the aforementioned deficiencies, this descriptive theoretical
study takes a qualitative approach and focuses on status quo and potentials for migration of
building information and analytical capabilities from AEC-centric BIM tools to facility
managers, owners, and users. Data has been collected mainly through literature and
workshops. It has been complemented by a number of exploratory studies on existing
technologies. This is a basic research aimed at illuminating the path for further applied
research activities.
Results show that the bulk of the FM sector still confronts substantial challenges regarding
appropriate access to building information that is often caused by deficiencies with current
workflows, contracts, and IT infrastructure. Thorough implementation of established and
developing standards such as IFC and COBie to be used in BIM-enabled FM systems
entails a complete shift from as-designed and as-built documents to their as-commissioned
and as-operated successors. In an interoperable FM information system based on or closely
connected to post-constructional BIM technologies, performance data, and sensor data from
Building Automation Systems (BASs) will be cycled back to inform both better design and
better operation.
Keywords: FM:BIM, facilities management, BIM, CMMS, FM:BIM:BAS

Ph.D. candidate; Department of Real Estate and Construction Management; The Royal Institute of
Technology (KTH); Brinellvgen 1 100 44 Stockholm; pouriya.parsa@abe.kth.se.
2
Professor; Department of Real Estate and Construction Management; The Royal Institute of
Technology (KTH); Brinellvgen 1 100 44 Stockholm; vaino.tarandi@abe.kth.se.

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1. Introduction
The final destination of any construction project is its operation phase. Facilities
management (FM) activities during the operation phase are key contributors to sustainable
performance of the building (Ding et al., 2009). By average, every building operating firm
annually spends $15 to $20 per square meter for energy purchase (Hodges & Elvey, 2005).
Therefore, building owners increasingly strive for better control over resource utilization rates
of their facilities (East, Bogen, & Rashid, 2012) aiming for a more economic, environmentfriendly, and optimized FM experience. An efficient FM practice is also an influential
business enabler that substantially increases corporations return on investment (ROI) (Ding
et al., 2009).
Implementation of Building Information Modelling (BIM) throughout the entire life cycle of the
building benefits the owners the most among all stakeholders by significantly increasing the
value of the information in their possession (Figure 1) and accruing the amount of ROI via an
integrated project delivery process realized by use of BIM (Eastman, Teicholz, Sacks, &
Liston, 2011; Khemlani, 2011; Sabol, 2008). The life cycle approach to building modelling
and the ability for using the BIM model after design and construction also through the
operation and maintenance (O&M) phase has been emphasized by many scholars (Tarandi,
2012; Khemlani, 2011; Young, Jones, & Bernstein, 2008).

Figure 1: Comparative diagram of building information value degradation through the


entire life cycle of the building with and without deploying BIM tools (after Eastman et
al., 2011, p. 153).
The aim is to eliminate the delays, confusion, and inaccuracy generated by traditional O&M
documents namely as-built drawings, O&M manuals, maintenance schedules, room
datasheets, asset performance data documents, and cost datasheets in either paper format
or static digital formats such as Portable Document Format (PDF) and scattered
spreadsheets (Schevers et al., 2007). This enables the owners to make intelligent and
informed decisions in the pursuit of strategic management e.g. choosing between in-house
and external contractors and suppliers for specific services (Ding et al., 2009; Young et al.,
2008).

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1.1.

Background

While the dominant challenge of recent decades for facilities knowledge management
practitioners has been replacing paper documents by digital equivalents, now they seem to
be keen to go even one step further towards more intelligent and interoperable tools and
techniques by fully expelling manual data entry and retrieval work. Moreover, the everincreasing capacity of computers perpetually underpins development of more complete and
accurate building models (Ding et al., 2009) and FM systems.
Advert of BIM in building design and its propagation to construction both demanded and
facilitated a better coordination and automated interaction among as-designed and as-built
documents (Owen, 2009) and a reconciliation among design-intent and construction-intent
building models (Young et al., 2008). The final destination is however gradual promotion of
current BIM models to be also deployed as as-commissioned, as-operated, and asmaintained models (Ding et al., 2009).
There are a handful of success stories regarding use of BIM in FM: In the case of the Coast
Guard Facility Planning, implementing BIM surprisingly helped reduce the time and effort to
construct and update the FM database up to 98% (Eastman et al., 2011). The Sydney Opera
House (SOH) is one of the most prominent examples of application of a BIM-enabled FM
system (Ding et al., 2009). The integrated FM system for SOH is based on a spatial
breakdown order of the facility components including location zones, functional spaces,
stories, and rooms and subsequently propagating this hierarchical ontology to data
exchange streams among various tools and databases (Schevers et al., 2007). A central
data repository was created to accommodate all objects and their relationships (Sabol,
2008). Yet, such examples are not ubiquitous and do not represent the mainstream
(Khemlani, 2011). Owners have traditionally been and still are far behind other actors in
building industry with regard to use of BIM (Young et al., 2008).

1.2.

Scope of the study

Facilities Management may cover a wide temporal and disciplinary range of activities
ranging from ordinary O&M jobs through financial asset management, operation simulation,
and performance monitoring to major refurbishments and upgrades (Eastman et al., 2011;
Ding et al., 2009). From a scale point of view, it will be more appropriate to replace the term
facilities management by its broader counterpart, property management where underground
utility systems, parking lots, roads, drainage structures, and grounds are also included
(Sapp, 2011).
A variety of disciplinary actors are involved in facilities management namely O&M directors,
facility managers, facility engineers, O&M planners, maintenance supervisors, craftsmen,
tradesmen, and janitorial, custodial, and housekeeping staff. Investigated characteristics of
the BIM-enabled tools for FM such as user-friendliness, functionality, and interoperability are
therefore studied and assessed with regard to the aforementioned user groups and the
degree and scope of their need for building information.

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The scope of this study is an analysis of BIM-enabled tools for facilities and operation
management. Owner is alternately used instead of the facility manager agent of the owner.
Among the variety of fields influencing use of BIM in FM, this study prioritizes and focuses
on implications of information technology and building information modelling tools and
techniques.

1.3.

Our goal

This articles aims to report a thorough study on the importance, implications, and issues of
implementing BIM-enabled tools in the facilities management and operation phase of the
buildings life cycle. Findings can be used for orienting and providing further applied research
activities in the field with a comprehensive theoretic insight. The term BIM-enabled refers to
those applications that are capable of interacting and exchanging information with BIM tools.
As a matter of practicality, the term BIM-enabled FM systems/tools is alternately replaced
by FM:BIM systems/tools in this paper.

1.4.

Methodology

This basic research is a descriptive theoretical study totally based on the data collected from
existing literature and complemented by inputs from workshops, interviews, webinars, faceto-face and online conversations, and exploratory studies on existing tools and technologies.
In the closing sections of the article (Solutions and Conclusion), a qualitative comparative
approach is taken for evaluating existing tools and applications.

2. BIM for facilities management


A BIM-enabled FM system dramatically enhances maintenance, business, and
benchmarking processes (Mitchell, Ballesty, Drogemuller, Schevers, Linning, Singh, &
Marchant, 2007) even at such highly detailed levels as inspection, updating, and recording of
fire-rated walls and sealant condition between tiles (Ding et al., 2009). East et al. (2012)
contend that FM-enabled tools are much more efficient for evaluation of environmental
performance of buildings compared with methods such as energy-reduction targets and
checklists. BIM solutions for FM (FM modules) are often developed in-house or by third-party
developers (Khemlani, 2011). No BIM application is capable of undertaking the entire
diversity of FM activities mentioned above. Instead, FM:BIM tools are in most cases
designed to communicate, interact, and exchange data with domain-specific knowledge
management FM systems.
Applications of BIM in FM can be alternatively categorized into the following groups of
activities: facility / property strategic management, financial management, building
performance evaluation, cleaning services, end-user services, security schema, and
renovation planning and management (Jokela, Laine, & Hnninen, 2012; Eastman et al.,
2011; Schevers et al., 2007). These major categories can in turn be broken down to
activities such as move management, data mining, room scheduling, lease management,
tendering, risk management, long-term planning, communication, operation simulation,
management of maintenance, inspection planning, condition management, repair

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management, document management activities, financial operative planning, budgeting, and


budget follow-up, monetary transactions, accounting, and pro-forma analysis. The
aforementioned can be addressed, enhanced, and optimized using BIM.

2.1.

Performance evaluation

Evaluation of program compliance, real-time monitoring of building performance, energy and


environmental assessment, survey of hazardous wastes, consumption monitoring, sensor
and control monitoring, and change tracking are some components of building performance
evaluation. BIM helps automating registration of the variety of operational data pertaining to
general appearance, tidiness, and cleanliness of rooms and spaces. Such data are regularly
collected for evaluation of building performance. Timed values of Building Condition Index
(BCI) are composed of Building Fabric Index (BFI) and Building Presentation Index (BPI)
subcategories (Schevers et al., 2007). These are normally registered in a percentage-based
scoring format in corporations Computerized Maintenance and Management System
(CMMS) (Sapp, 2011) and are deployed for contractual purposes. Ding et al. (2009) also
mention Key Performance Indicators (KPI) criteria that are used for the purpose of internal
benchmarking. KPIs address multidimensional non-financial parameters such as services
quality, facility condition, energy consumption, accessibility, security, and response to urgent
work (Ding et al., 2009; Mitchell et al., 2007). Implementation of tablets and Smart phones
instead of printed forms for collecting data to populate BFI, BPI, and KPI databases will
enhance automation of FM and further accelerate development of integrated FM:BIM
applications.

2.2.

BIM for operating and maintenance management

Operating and maintenance actions are performed on a daily basis in order to sustain the
quality of acquisition of both fixed and dynamic facility and equipment assets in a way that
they truly perform their intended function (Sapp, 2011). Incorrect, fallacious or non-optimized
operation routines may result in unnecessary downtime, voiding warranties, and reduced
service time of facilities and expected useful life (EUL) of their fixed assets (Sapp, 2011).
It is sometimes more practical to fully differentiate among digital systems that are used for
maintenance and the rest of FM activities. In the case of Sydney Opera House, for instance,
computer-aided facilities management (CAFM) and computer-aided maintenance
management (CAMM) systems are devised as two separate sets of applications (Schevers
et al., 2007). All in all, in order for an FM:BIM application to efficiently administer the
operation phase of a building, the variety of facilities operation and maintenance activities
e.g. reactive, predictive, and preventive maintenance should be addressed in the system
and mapped onto a detailed schema encompassing their work order breakdown.

3. Shortcomings
Owners cost estimations often include contingencies as high as 5-50% (Eastman et al.,
2011); expenses that can be avoided by implementing an accurate, reliable, and informationrich building model for a more thorough control over financial resources prior to and during

190

operation of the building. Yet few BIM-enabled tools have been developed specifically for
owners (Eastman et al., 2011); while owners are exposed to the biggest loss among all
stakeholders in building industry for inadequate interoperability and confronting errors and
inaccuracy when using BIM (Young et al., 2008).
Problems that arise in sustaining a smooth flow of information through the entire life cycle of
the building to the operation phase can be classified in the three areas of workflows,
contracts, and information technology. This categorization is derived from a recapitulation
of the variety of issues declared in the literature and can roughly be aligned to Owen
(2009)s three alleged industry foundations underpinning IFC standard: processes, people,
and technologies.

3.1.

Workflows

In general sense, throughout the varieties of disciplinary and sequential branches of AEC
industry, change of workflows is perpetually recommended for acquisition of the full merits of
BIM (Eastman et al., 2011; Young et al., 2008). Traditional work order sequences are quite
time-consuming and inefficient. According to Eastman et al. (2011), payments to the
employees who work with FM account for 92% of the life cycle costs of a building.
Improvement of daily FM routines by means of insightful data management tools will
dramatically cut such expenditures over time.
A major part of investments in operational phase corresponds to data inventory required for
issuing and implementing scheduled and non-scheduled O&M work orders. There are
indications that a 28% cut in the time spent on O&M work order process is perceived by use
of BIM in the facilities management phase (Forns-Samso, 2010); yet further field studies,
surveys, and interviews with practitioners are needed to confirm this finding. Shortsightedness of the owners is quite often mentioned as the main factor that impedes such an
auspicious gain (Eastman et al., 2011). Khemlani (2011), too, notices the need for changing
mind-sets of FM professionals. Established roles and practices, risk avoidance, short-term
business relationships, document-based thinking, and silo mentalities (Owen, 2009) are
major hindrances against improving and enhancing FM business processes using BIM.

3.2.

Contracts

Drifting towards more collaborative and informed workflow configurations in building industry
demands for new types of contracts. Some take on to mandate an integrated approach to
design and construction, namely Integrated Project Delivery (IPD) (Eastman et al., 2011). In
order that the owners can genuinely benefit from BIM, a number of changes in deliverables
of design and construction business activities should be realized. As-built deliverables to the
client and specifications should be substituted by updated as-built BIM models (Jokela et al.,
2012; Eastman et al., 2011). It requires that owners are sufficiently perceptive about virtues
of BIM and motivated and prepared to receive BIM models instead of traditional documents.
Elsewise, consulting and construction bodies will end up in cumbersome and iterative
workload of transforming their BIM models into traditional 2D documents which is a loss of
time and money.

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Problems associated with ownership of the building model should also be tackled in
contracts. This entails introduction and implementation of contract forms radically different
from traditional ones (Khemlani, 2011). Tarandi (2012) and Owen (2009), too, emphasize
the importance of intellectual property management for promoting integrated design and
delivery solutions.

3.3.

Information technology and building models

Using traditional FM database systems and cumbersome manual procedures of setup of FM


database systems, integration of FM with back-office systems and occasional use of
outdated as-built documents are among the most serious loss-making factors for building
owners during the post-construction era (Eastman et al., 2011; Smith & Tardiff, 2009).
Disparate commercial FM applications should yet undergo sizable changes to be capable of
receiving the full magnitude of building data from BIM models (Mitchell et al., 2007).
Failure in efficiently coupling BIM and FM systems is partly due to data handling issues. The
inability for integrating diverse and sometimes redundant data sources is normally caused by
inadequate interoperability which is in turn triggered by issues with standards and file
formats (Eastman et al., 2011). Traditional space identification methods such as polylining
should be replaced by more intelligent transfer of building information to FM (Khemlani,
2011). Besides, FM applications have been repeatedly criticised for not having graphical
interfaces (Sabol, 2008). Competitive commercial interests, too much focus on technology
rather than construction, and costly and time taking development procedures are some of
the hurdles with developing virtuous digital FM:BIM solutions (Owen, 2009).
Deficiencies of BIM tools, FM applications and mediating software packages do not
represent the full picture. Scarcity of information systems that are capable of embracing
various data types through the entire life cycle of the building is also a major issue (Tarandi,
2012). Advert of even more sophisticated operational equipment, namely Building
Automation Systems (BAS) further increases the need for more intelligent FM:BIM tools
(Sapp, 2011). In practice, a considerable number of facility managers deactivate their sensor
systems since owners cannot afford the high expenditures of purchase and use of data
processing tools (East et al., 2012).

4. Solutions
The ultimate integrated FM:BIM solution should encompass a federated array of minor
solutions for the problematic areas mentioned above. Owners constant supervision over the
building process e.g. by means of IPD contract frameworks facilitates an integrated building
design, construction, and operation practice (Young et al., 2008). This helps satisfying the
clients requirements and insures program compliance of the final product. Training FM staff
also helps benefiting the most out of the built facilities (Sapp, 2011). This is however more a
general prerequisite for a healthy FM practice indifferent of how informed and automated FM
systems are and is thus not pertinent for the purpose of this study.

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Development of IT-based initiatives is the lowest-level category of FM:BIM solutions, yet a


substantial requirement which is the main focus of this study. Generally speaking, FM:BIM
systems should be scalable and flexible enough to allow change in business plans. They
should also be based on a flexible and extensible semantic system and ontology structure,
since ontologies at different corporations are developed and enhanced so as to clearly
address spatial decompositions of those firms and truly satisfy those corporations specific
business needs (Schevers et al., 2007; Mitchell et al., 2007).

4.1.

Standards

As mentioned above, non-standard data transfer formats account for a large share of parted
and non-compatible design, construction, and operation data authoring and management
systems. Tarandi (2012) suggests that a building data model supporting Product Life Cycle
Support (PLCS) is the key to a life cycle approach to building information management.
Implementation of such systems requires established standards for building data models
such as IFC and COBie.
4.1.1. IFC for FM
The most salient example of non-proprietary and object-based building data models is
Industry Foundation Classes (IFC) which aims to help make the data more future-proof
(Mitchell et al., 2007; Khemlani, 2004). IFC is developed by the international non-profit
organization, buildingSMART and is a semantically rich model that bears the capacity for
whole facility life cycle management. According to Schevers et al. (2007), the very first
generation of IFC-compliant FM systems were already available half a decade ago.
IFC already supports FM activities such as performance evaluation, procurement, and
service delivery (Mitchell et al., 2007). Sabol (2008) asserts that implementation of IFC
fostered faster and more efficient FM practices at SOH in a variety of ways including sharing
and reusing data by all contractors and staff, providing analytic capacity for design of
upgrading and refurbishment projects, providing the ability for whole-life-cost-estimation thus
better control over building performance and environmental data, and the ability for tighter
budget planning. The ultimate IFC-compliant FM systems should also enable automated
integration of the data in BFI, BPI, and KPI into the BIM model.
A very basic requirement of building modelling for use in FM is that native BIM models
produced during design and construction phase can be exported to workable and accurate
IFC files. Nevertheless, IFC models can never completely replace original disciplinary BIM
models (Jokela et al., 2012). IFC-compliant viewers are greatly useful for owners / FM
managers when used in combination with FM systems. TeklaBIMsight, Autodesk
Navisworks, and Solibri Model Checker are some examples (Jokela et al., 2012).
Furthermore, a variety of IFC-compliant data analysis tools including energy prediction
models have been in place for a long time (Mitchell et al., 2007). Integrated implementation
of IFC-compliant and semantic web applications (e.g. RDF and OWL) is a suggested
approach for developing automated and informed FM knowledge management tools
(Schevers et al., 2007).

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4.1.2. COBie
As in any other multi-disciplinary career, a set of standardized data exchange protocols are
required for facilitated handover of building data through sequential stages to the operation
phase. Such standards will guarantee that the building information produced during design
and construction by architects, contractors, and subcontractors will eventually be available
and accessible for the FM team (Jokela et al., 2012). In search of a solution for regulating
FM-specific data provision requirements, the COBie initiative (Construction Operations
Building information exchange) was developed at CERL Lab of the Engineering and
Construction Department of the U.S. Army Corps of Engineers (Young et al., 2008). COBie
is an open data transfer specification for initiating registration of the information needed for
FM early in the design and construction phase (Sabol, 2008).
A fundamental principle of COBie is that the designer should provide a set of conceptual
information such as flow, space, and equipment layouts in the form of a BIM model, while
the contractor complements it with more specific and market-based data namely make,
model, and serial number (Eastman et al., 2011). Data that are not needed in the BIM model
are delivered to the owner in the form of COBie documents i.e. low-level formats such as
Excel spreadsheets (East & Carrasquillo-Mangual, 2012; Khemlani, 2011). The overall
rationale behind the necessity for supplementing IFC with additional standards such as
COBie is in fact what Tarandi (2012) articulates as not all types of information being
manageable and transferable via neutral formats and geometry-based building models.
The main obstacle against discipline-wide implementation of COBie is provision of clear
description of practical routines for evaluation and validation of deliverables and checking for
discrepancies among COBie documents delivered by different actors at different stages.
Moreover, problems with conflicting names will not be fully lifted before global standards
such as International Framework for Dictionaries (IFDs also termed as buildingSMART
Data Dictionaries) are in place. More clarification is required on how to replace more detailed
and more precise data in updated COBie sheets in practice as the project progresses.

4.2.

FM:BIM tools and applications

Efficiency and profitability of an FM tool can be evaluated by meticulously measuring


parameters such as the number of work orders per year, average time spent on work orders,
ease of access to information, and accuracy of as-built / as-operated information (FornsSamso, 2010). FM applications are often termed as Computerized Maintenance and
Management Systems (CMMS). The most commonly used CMMSs are IBM Maximo, TMA,
FAMIS, FM:Systems, Facilty Link, Facility Focus, Archibus, AssetWorks AiM, Vizelia, and
Rhyti (Khemlani, 2011; Schevers et al., 2007). Not all of these are yet fully compatible with
BIM applications.
As in the case of building modelling applications, a variety of proprietary FM:BIM tools have
been introduced by prominent market actors namely Autodesks FMDesktop (linked to
Revit), Graphisofts ArchiFM (connected to ArchCAD), and Bentley Facilities (built on top of
MicroStation and linked to ProjectWise) (Khemlani, 2011).

194

4.2.1. FM:BIM:BAS tools and applications


One of the most recent approaches to FM:BIM is the mixed software / hardware solutions for
also integrating sensor data to FM:BIM systems suggested by Cahill, Menzel, & Flynn
(2012). They suggest a combined use of object-oriented and web-based ITOBO platform
together with BiMserver data repository (van Berlo, Beetz, Bos, Hendriks, & van Tongeren,
2012) and Oracles Berkeley Database. Information Technology for Optimized Building
Operation (ITOBO) is a project conducted by a consortium of Irish and international agents
from academia and industry including University College Cork and Environmental Research
Institute. This initiative seeks solutions for integrating data such as CO2, humidity, lighting,
wind speed, total, and diffuse solar radiation, air velocity and water flow sourced from wired
and wireless sensors into the BIM system. The aim is automating FM practices to better
satisfy specific business needs. Cahill et al. (2012) refer to documentation revision control
and timed meter readings as two essential functionalities of the FM:BIM tool of tomorrow.
Sensor Fusion Platform initiative, introduced by East et al. (2012) follows a similar thread.
The core idea is implementing a sensor data capturing system coupled by the open-source
BiMserver engine and oBIX-based OX Framework. Onuma Systems solution is another
example that implements COBie format and benefits cloud computing for a faster and more
collaborative building data management. They have developed platform-accustomed
applications for smart-phones and tablets as well as a BIM tool for data exchange with
BASs (Khemlani, 2011). EcoDomus products are perhaps the most interoperable
contemporary FM:BIM solutions which are also coupled with BASs (We refer to such
integrated systems as FM:BIM:BAS systems in this article). They serve in fact as links
among FM:BIM and CMMS tools. EcoDomus tools are compatible with a variety of BIM
models, Geographic Information Systems (GIS), and BASs, namely Revit, Bentley BIM, and
IBM Maximo. They are COBie-compatible and also cover the construction phase
something that was missing in Autodesk and Graphisofts FM:BIM solutions (Khemlani,
2011).

5. Conclusion
The user should be able to access O&M manuals, specifications, performance data, parts
list, schedules, and relevant CMMS features right in the BIM model in a non-complicated,
flexible, scalable, and visual fashion. However, creating a full scale FM:BIM system is
neither feasible nor wanted (Schevers et al., 2007); rather as in the case of contemporary
FM:BIM and FM:BIM:BAS tools - an efficient integrated FM:BIM system would most probably
be composed of a set of loosely coupled software applications with web-based interfaces
where the FM application is capable of bidirectional exchange of data with updated as-built
BIM applications. A BIM in sync with the latest building performance data further strengthens
reliance on and use of BIM systems by all actors (Cahill et al., 2012).
A fully functional FM:BIM integration should also be usable for minor and major
refurbishment construction works by enabling analysis of technical criteria such as structural
feasibility, acoustic outcomes, smoke management in fire mode, etc. (Ding et al., 2009;
Sabol, 2008). The ability of directly seizing the timed values of BPI, BFI, BCI, and KPI criteria

195

as well as sensor and control data from BAS's underpins such an approach. This assortment
should be complemented by a central BIM repository that performs document submission
management and automated, yet controlled synchronization of documents throughout the
entire life cycle of the building including facilities management and operations phase
(Tarandi, 2012). The shift from proprietary and vendor-specific solutions to FM systems that
are compatible with open standards for building data is thus a central requirement.
A more comprehensive outline for FM:BIM applications, however, requires a more thorough
evaluation of effectiveness of contemporary FM routines, problematic areas, and the true
sources of such deficiencies by means of interviews and surveys. The O&M staff is usually
one of the best sources of information on how existing facilities are performing and how new
equipment should be incorporated for a more efficient use of assets and raised ROIs (Sapp,
2011).
While maintaining the linkage among GIS and BIM applications is perhaps the most
challenging area from a scale point of view, FM is at the time the final frontier of BIM from a
life cycle perspective (Khemlani, 2011). The moment appropriate tools are in place and
ubiquitously used by all actors, facility managers paper documents will become obsolete the
way their counterparts in design and construction are now about to vanish from offices and
sites.

References
Cahill, B., Menzel, K., & Flynn, D. (2012). BIM as a centre piece for optimised building
operation. eWork and eBusiness in Architecture, Engineering and Construction. ISBN 978-0415-62128-1. Taylor & Francis Group.
Ding, L., Drogemuller, R., Akhurst, P., Hough, R., Bull, S., & Linning, C. (2009). Towards
sustainable facilities management. In P. Newton, K. Hampson, & R. Drogemuller,
Technology, Design and Process Innovation in the Built Environment (Vols. Pp. 373-392).
Taylor & Francis.
East, B., & Carrasquillo-Mangual, M. (2012). The COBie Guide: a commentary to the
NBIMS-US COBie standard.
East, E., Bogen, C., & Rashid, M. (2012). Life-cycle building control. eWork and eBusiness
in Architecture, Engineering and Construction. ISBN 978-0-415-62128-1. Taylor & Francis
Group.
Eastman, C., Teicholz, P., Sacks, R., & Liston, K. (2011). BIM Handbook, a Guide to
Building Information Modeling (Vols. ISBN 978-0-470-18528-5). John Wiley & Sons, Inc.
Forns-Samso, F. (2010). Masters thesis: Perceived value of building information modeling in
facilities operations and maintenance. University of New Mexico. Dept. of Civil Engineering.
Hodges, C. P., & Elvey, W. W. (2005). Making The Business Case For Sustainability: It's Not
Just About Getting Points. July/August 2005.

196

Jokela, M., Laine, T., & Hnninen, R. (2012). COBIM - Common BIM Requirements 2012.
Series 12 - Use of models in facility management. Olof Granlund Oy.
Khemlani, L. (2004). The IFC Building Model: A Look Under the Hood. March 30(Feature).
Khemlani, L. (2011). BIM for Facilities Management. September 30, 2011.
Mitchell, J., Ballesty, S., Drogemuller, R., Schevers, H., Linning, C., Singh, G., Marchant, D.
(2007). Adopting BIM for facilities management: Solutions for managing the Sydney Opera.
Cooperative Research Centre (CRC) for Construction Innovation and the Australian
Governments Facilities Management Action Agenda.
Owen, R. (2009). CIB White Paper on IDDS Integrated Design & Delivery Solutions.
Rotterdam. the Netherlands: CIB Publication 328.
Sabol, L. (2008). Building Information Modeling & Facility Management.
Sapp, D. (2011). Facilities Operations & Maintenance. (Plexus Scientific) Retrieved
November 8, 2012, from Whole Building Design Guide: http://www.wbdg.org/om/om.php.
Schevers, H., Mitchell, J., Akhurst, P., Marchant, D., Bull, S., McDonald, K., Drogemuller, R.
(2007). Towards Digital Facility modelling for Sydney Opera House using IFC and Semantic
Web Technology. 12(pp. 347-362).
Smith, D. K., & Tardiff, M. (2009). The Building Life Cycle (Chapter 5). In Building
Information Modeling: A Strategic Implementation Guide for Architects, Engineers,
Constructors, and Real Estate Asset Managers. John Wiley & Sons, Inc.
Tarandi, V. (2012). The BIM collaboration hub supporting IDDS: Research issues and their
current status. eWork and eBusiness in Architecture, Engineering and Construction. ISBN
978-0-415-62128-1. Taylor & Francis Group.
van Berlo, L., Beetz, J., Bos, P., Hendriks, H., & van Tongeren, R. (2012). Collaborative
engineering with IFC: new insights and technology. The European Conference of Product
and Process Modelling (ECPPM). Reykjavik.
Young, N. W., Jones, S. A., & Bernstein, H. M. (2008). SmartMarket Report, Building
Information Modeling. McGraw Hill Costruction.

197

Rethinking the Build Process for BIM Adoption


Esra Kurul1, Henry Abanda2 , Joseph HM Tah3, Franco Cheung4
Abstract
Collaborative working and integrated project delivery (IPD) are considered to be pivotal for
the UK Built Environment Sector to rise up to the important challenges, such as reducing
carbon emissions and cost, whilst delivering better value to the client. Considerable work
remains to be done after nearly 1.5 decades since Egan listed them among the five key
drivers of change. Innovating through integration and advocating change remain amongst
the Governments top priorities for the sector to respond to the five-low carbon challenges,
and thus to reduce costs by between 10% and 30%.
Building Information Modelling (BIM) is currently hailed as a solution that will eventually
make collaborative working a reality. There is a strong push in the UK for the industry to
adopt BIM but very limited appreciation of the issues that need to be resolved, e.g. cultural,
procedural, contractual and process-related. Technological solutions to this problem exist
but they need to be creatively combined to facilitate true collaboration between disparate
project stakeholders who are often reluctant to share innovative solutions due to contractual
relationships and Intellectual Property.
This paper focuses on improving the processes to design and deliver standardised schools
in the UK by developing a novel approach to IPD through collaborative working and learning
from project experience (collaborative BIM- cBIM). This is achieved by utilising the power of
BIM, and emerging techniques and technologies. First a review of the current processes is
undertaken to identify how IPD of standardised designs should be lead, planned and
implemented. Second, emerging tools and technologies that can support this novel
approach to procurement, design, and delivery are identified. The paper concludes with
suggestions to develop an initial framework for cBIM which details the processes and
protocols that should be embedded in project teams to make IPD a reality.
Keywords: collaborative BIM, Project, Standardised Schools.

Senior Lecturer; Real Estate & Construction; Oxford Brookes University; OX3
ekurul@brookes.ac.uk.
2
Lecturer; Real Estate & Construction; Oxford Brookes University; OX3
fabanda@brookes.ac.uk.
3
Head of Department; Real Estate & Construction; Oxford Brookes University; OX3
jtah@brookes.ac.uk
4
Senior Lecturer; Real Estate & Construction; Oxford Brookes University; OX3
kcheung@brookes.ac.uk

0BP;
0BP;
0BP;
0BP;

198

1. Background
Climate Change and the resultant need to drastically reduce carbon emissions across the
Globe, had long been acknowledged as key challenges to industries before the
unprecedented global economic crisis started to overwhelm major economies in 2008. As a
result, every industry has been forced to re-think its processes and practices to deliver
efficiently. The UK Construction Industry, the efficiency of which was identified as being
critically important for the UK economy in the Governments Plan for Growth published in
March 2011, is no exception.
The UK Built Environment Sector faces a number of important challenges such as reducing
carbon emissions and cost, whilst delivering better value to the client. There has been a
plethora of initiatives to encourage the industry to take action to rise up to these and other
key challenges such as low productivity. Collaborative working & IPD have long been
regarded as solutions. However, lack of progress in implementing the recommendations [of
these initiatives], and pessimism about the future outlook for change were identified as
issues in the latest industry review (Wolstenholme, 2009).
BIM is currently hailed as a solution that will eventually make collaborative working a reality.
The UK Government has recently announced that BIM will be compulsory on all public
sector projects from 2016 (Morrell, 2011). The Ministry of Justice announced in April 2011
that contractors on its framework must use it by the middle of 2013. Therefore, there is a
strong push for the industry to adopt BIM but very limited appreciation of the issues that
need to be resolved, e.g. cultural, procedural, contractual, process-related, so that BIM
becomes the vehicle for collaboration. Technological solutions to this problem exist but they
need to be creatively combined to facilitate true collaboration between disparate project
stakeholders who are often reluctant to share innovative solutions due to contractual
relationships and Intellectual Property. To gain insights about BIM and IPD, it is important
understand how other countries have implemented them. The Scandinavian countries have
been noted for being technologically advanced with highly educated population and large
public sectors (Jensen and Jhannesson, 2013). Therefore, an overview of BIM and IDP
practices Finland and Denmark will be undertaken in the ensuing section.

2. BIM Penetration: Scandinavia vs UK


In 2007, a survey conducted by Kivinemi (2007) revealed that the usage of BIM and Industry
Foundation Classes (IFC) compliant applications stood at 33%. The same study revealed
that 93% and nearly 60% of architects and engineers respectively, used BIM in some parts
of their projects. So, many pilot studies demonstrating the benefits of BIM have been
conducted in Finland. Results from these studies have been used in developing mandatory
BIM requirements since the end of 2007. A survey by Kiviniemi et al. in 2008 reported that
50% of architects, 29% of clients and 40% of engineers used BIM for some parts of their
projects in 2008. In January 2007, Denmark launched an initiative called Det Digitale
Byggeri meaning Digital Construction for mandatory use of BIM in government projects.
While these countries have already established BIM mandatory requirements, the UKs first

199

BIM mandatory requirements will come into force in 2016 (Morrell, 2011), nearly 9 years
later.
Despite immense benefits of BIM already noted in these countries, and others, industry
experts have often argued that BIM only becomes a vehicle to delivering better value if
parties truly collaborate (Wright, 2012). One of the main challenges is to learn how to lead,
plan and implement IPD. It is therefore necessary to review and remodel traditional delivery
processes so that using BIM at Level 3 of Bew-Richards BIM Maturity Model, i.e. intelligent
BIM (iBIM), becomes a reality. This paper reports on the initial stages of an R&D project
which aims to pave the way to iBIM by developing, testing and validating a novel approach
(cBIM) to collaborative working and learning from project experience by utilising the power of
BIM and emerging techniques & technologies.
cBIM will be developed, tested and validated in the Education Sector in England and Wales.
Education is ripe for an innovative approach of this kind because the Government is under
very high pressure to provide more school places in an environment where project funds are
dwindling. There is a mismatch between the demand for public services and the funds that
are available to provide them. Education is one of sectors in which this mismatch is acute.
The education sector in England and Wales requires over 12Bn of funding during the three
years between 2013 and 2015 in accordance with the Comprehensive Spending Review. In
addition, the population growth in major UK conurbations is creating a Primary Place bulge
requirement well-beyond the space available in the current school building stock. Local
Authorities, which have a statutory duty to educate children of school age, are having to
respond by diverting their resources to primary schools. This strategy will lead to a similar
problem at secondary level by 2016-2018. The Government forecasts that there will be 4.39
million primary pupils by 2015 (an increase of about 10% on 2011), and this will increase to
4.8m by 2020. In London, 70,000 new permanent primary school places will be needed by
2015, even after 240 classrooms, built in response to rising demand since 2010, come into
use this September. Birmingham faces a shortage of 3,000 reception places between now
and 2020.
With an increased focus on both capital cost and long-term cost in use, new ways of working
are necessary to meet societys need for school places and to work within the restricted
budgets and timescales necessary to enable this major building program. Therefore, a
significant opportunity exists to overcome these challenges for innovative providers and for
forward thinking procurers to collaboratively create a totally new and unique method of
building design and procurement that takes learning from major product manufacturing
principles and from projects that are already delivered, and applies this to revolutionise the
process of delivering built facilities in order to respond to the James Review which
suggested standardised building techniques as one of the best ways to deliver low-cost
schools (UK DE 2012; Talbot and Francis 2012).

3. The Novel Approach


The aim of this paper is investigate how best to deliver standardised schools in the UK
through innovative IPD processes that harness the power of BIM and emerging technologies

200

for sensing and automated data collection. First a review of the current processes is
undertaken to identify how IPD of standardised designs should be lead, planned and
implemented. Second, emerging tools and technologies that can support this novel approach
to procurement, design, and delivery are identified. The paper concludes with the principles
of a framework for cBIM which details the processes and protocols that should be embedded
in project teams to make integrative project delivery a reality.
IPD has been an aspiration for the UK construction industry since the mid-1990s but it
remains to be one of the top priorities of the Government. Contrary to traditional construction
practices which have made the industry notorious for its fragmentation, IPD is an approach
that integrates people, systems, business structures and practices into a process that
collaboratively harnesses the talents and insights of all participants to reduce waste and
optimize efficiency through all the phases of construction.
Although it is possible to achieve IPD without BIM, it has actually become the most
recommended strategies to enhance IPD. Merging IPD and BIM can lead to greater
collaboration in terms of procurement and delivery. It should lead to reductions in time, cost,
waste and bring about innovative solutions to persistent problems. The complexities and
constraints coupled with the high demand, makes IPD undoubtedly one of the best
approaches to deliver schools in the UK.

4. Current Approaches to Project Delivery


Standardisation, off-site manufacturing, prefabrication and similar innovative approaches to
delivering buildings is another area which provides opportunities to deliver better built
facilities. Finnimore (1989) defines standardisation as an early theory in building technology,
borrowed from manufacturing industrys attempts to maximise repetition in methods of
manufacture in order to enhance economy and precision. The benefits of standardised
construction are fast return on investment, health and safety savings, time savings, quality
savings, efficiency savings, material savings, fewer defects and fewer mistakes (Ross 2005).
Recently, it has been argued that schools can also gain from these benefits in an
environment where demand for school places is increasing whilst funding is decreasing
(Watson 2012; UK DE 2012; Talbot and Francis 2012).
In the UK, the provision of standardised schools has an established track record since the
end of the Second World War (Phillipson, 2001). However, other than the traditional project
lifecycles (CIOB, 2010), details about processes used in the delivery of standardised schools
are sketchy despite a rising number of standardised schools being reported in the country.
The Hertfordshire schools programme was an outstanding example of a programme which
used standardised and prefabrication technology to meet the local pressures from the
expansion of London and the establishment of post war new towns (Hatfield, Hemel
Hempstead, Welwyn Garden City, etc.) that were driving the need for schools. In the UK,
most projects including standardised schools are often required to use construction
lifecycles. Some common lifecycles in the UK have been defined by leading institutions such
as Chartered Institute of Buildings, British Standards, British Property Foundations and
Royal Institute of British Architects (CIOB, 2010). These lifecycles often adopt a stage-gate

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approach to project delivery, where professionals are involved only during the stages when
their expertise is deemed necessary, dominates. Furthermore, many project partners still
pursue these lifecycles in a linear fashion. The BIM approach is non-linear and provides
project partners opportunities to collaborate simultaneously on a project. Therefore, the role
of BIM can potentially contribute to reducing industry fragmentation, improving
efficiency/effectiveness and fostering interoperability thereby reducing cost and time, and
thus supporting IPD. It is considered that the use of BIM can greatly enhance the production
of standardised buildings by providing integrated information solutions from the factory to the
site. Lu and Korman (2010) argue that the use of modular construction techniques may
increase as BIM becomes more prevalent in the construction industry.

4.1 BIM tools


The paradigm of collaboration between project partners using Information and
Communication Technology (ICT) to share useful information throughout a projects lifecycle
is well-encapsulated in BIM. Currently, BIM is at the centre-stage of almost every single
countrys construction industry including the UK. It is being hailed as a solution to overcome
age old difficulties in communications and information management that have plagued the
industry for decades. The contribution of BIM in addressing some of these issues that have
remained unattended for far too long has already been noted (Jordani, 2008). However,
whereas other industries have succeeded in leveraging significant benefits from BIM
solutions, the construction industry has struggled to achieve similar productivity benefits for
technological, practical and methodological reasons (Olatunji 2011; Arayici et al. 2012).
Hence, it is imperative to understand the technological, practical and methodological
challenges impeding the uptake of BIM so as to provide a way forward for its full-scale
adoption. In the ensuing section a review of the different BIM tools is undertaken.
The review criteria were identified with the aim of gaining insights of the benefit and
challenges involved in the use of BIM. The main criteria considered are the various domain
of activities, e.g. architecture, structures, etc.; the various tools used in the different domains;
the different professionals involved such as the designers, engineering and cost consultants.
Key aspects of exploiting construction information are interoperability, links of BIM with other
tools, construction domain and stages in which the tools can be used, and whether the BIM
tools are open source or not. With these criteria set, the most widely used tools established
by the UK National Building Specification (NBS, 2013) were reviewed. The BIM tools are
Revit, Microstation, Allplan, Bentley Building Suite, AutoCAD, Vectorworks, ArchiCAD,
Trimble SketchUp. The summary of the review of these tools are presented in Table 1.

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Table 1: Comparison of the common BIM tools in the UK construction industry


Stage

Domain

Users

Links with other software

Interoperability

Open source

Revit Architecture

Planning and Design

Architecture

Architects and drafters

AutoCAD, Google SketchUP,


Excel, ODBC, Google Earth

IFC, gbXML, DWG

No

Revit Structure

Planning and Design

Structure

Structural engineers

Ecotect, Green Building Studio

IFC, DWG

No

Construction
Revit MEP

Planning and Design

MEP

Mechanical, Electrical and


Plumbing Engineers

Ecotect, Green Building Studio

IFC, DWG

No

ArchiCAD

Planning and Design

Architecture

Architects

Revit

IFC

No

Architecture

Architects and drafters

Google SketchUp, Google Earth,


Microstation. 3ds-Max, AutoCAD

IFC, DWG,
PDF

DXF,

No

Structural engineers

Google SketchUp, Google Earth,


Microstation. 3ds-Max, AutoCAD

IFC, DWG,
PDF

DXF,

No

DXF,

No

Construction
Allplan Architecture

Planning and Design

(3D design)
Allplan Engineering

Planning and Design

Structures

Construction

(3D
design
for
structural design)

Allplan
Facility
Management

Operations

Facility
Management

Facility managers

Google SketchUp, Google Earth,


Microstation. 3ds-Max, AutoCAD

IFC, DWG,
PDF

MicroStation

Planning and Design

Architectural Design

Architects,
engineers,
contractors, planners, GIS
professionals

AutoCAD, Google SketchUP,


Revit, IES, Google Earth

DWG, DXF, PDF

No

Google Earth

DWG, DXF

No

Google SketchUp

DWG, gbXML, IFC,


PDF

No

Google Earth

DWG, DXF

Free for limited


version, small fee
for complete version

Construction
Operation
Vectorworks

Planning and Design

Landscape design

Planners and
Architects

Bentley suite

Planning and Design

Architecture,
Structures, MEP

Architects,
MEP
Structural Engineers

Architectural design

Architects

Construction
Trimble SketchUp

Planning and Design

Landscape

and

203

4.2 The Barriers to the uptake of BIM tools


Table 1 provides the basis of discussion of factors inhibiting the uptake of BIM. In addition to
the technical barriers in Table 1, non-technical barriers will be examined.
Information exchange and interoperability: Information exchange is crucial in fostering
integrated process. Based on Table 1, it emerged that some of the common BIM tools can
output information in at least one standard format, e.g. IFC. However, a recent study
revealed that most construction professionals have never used most of the exchange
protocols (Redmond et al., 2012). Perhaps that justifies why some tools are still very
dominant in the BIM market. Without the knowledge of exchange protocols, the tendencies
of buying the most common software will most likely prevail.
At which stage should BIM be integrated in projects? Opinions on the applications of
BIM processes and tools on various phases of a construction project vary. These variations
are generally based on the level of information available with regards to each construction
phase. Current belief is that information about the operational phase of a building is widely
abundant and well-researched. Also, there is a shift in investigating the implementation BIM
at early design stages (Cheung et al., 2012). In Redmond et al. (2012) more diverse views
have been expressed. Some respondents adamantly argued for BIM to be implemented in
the whole life cycle while others recommended the early design stage.
Web-based or desk-top applications: Despite an overwhelming support and
acknowledgement of cloud-based BIM systems supported by the Web (Redmond et al.,
2012), many common BIM tools in the UK construction industry are still localised on
desktops. All of the tools in Table 1 are desktop-based systems.
Overcoming the technical barriers alone is not sufficient to trigger the uptake of BIM. Other
non-technical barriers such as cost, contractual issues, intellectual property, behavioural,
cultural are known to hinder the uptake of BIM (Olatunji 2011; Gu and London 2010;
Redmond et al. 2012; Yan and Damian 2008; NBS 2013).
Cost: Based on Table 1, most of the BIM tools are not free. In both the UK and the US, cost
and human resources are among the major barriers hindering the implementation of BIMs by
construction firms (Yan and Damian, 2008). This is particularly worrying given the huge
number of SMEs in the construction industry.
Contractual issues with BIM: The openness in sharing construction information in BIM is
the fundamental underlying principle of BIM and key in overcoming fragmentation in the
industry. However, this openness has been considered as a barrier (Redmond et al.,
2012). Current construction contracts do not cover information exchange. The lack of
Standard BIM contract documents is a barrier to the uptake of BIM (Ashcraft 2008). Thus,
issues such as risk allocation, compensation, insurance and dispute resolution common in
traditional contract documents cannot be easily dealt with in BIM projects. Ownership and
copyright attributions of construction BIM model and/or pieces of a particular aspect of a BIM
model still constitute major concerns in BIM managed projects.

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The lack of immediate benefits of BIM for designers: The benefits of the adoption of BIM
have been acknowledged by academics and construction professionals (Ashcraft 2008; Yan
and Damian 2008). However, amongst construction professionals, scepticisms about the
level economic benefit in the supply chain exists (Ashcraft ,2008). For the project owner, the
benefits are obvious and include design optimisation, fewer construction errors, fewer design
coordination issues, increased quality, decrease in cost, shorter delivery times, less
coordination and engineering effort and reduced fabrication costs. On the other hand,
designers feel less enthusiastic about BIM as they believe its economic benefits are less
apparent to them (Ashcraft, 2008). In the conceptual phase of a construction project, the
ability to explore various design alternatives using BIM tools leading to greater efficiency and
improvement in quality is a major benefit to designers. However, as argued by Ashcraft
(2008), unless the designer shares in the economic benefits, the owner, not the designer,
reaps the immediate rewards. Yet, it is the designer, not the owner, who must adopt and
invest in BIM more than owners (Sebastian, 2010).
Incompatibility of BIM information with Standard Methods of Measurement: A major
use of BIM is the measurement of quantities. BIM measurement could potentially change
current measurement practices. A classic example is the need to filter quantity measurement
output so that it complies with Standard Methods of Measurements. The existence of many
different standard methods of measurement further exacerbates this challenge. For
example, in the UK building and civil engineering works are managed by the Standard
Methods of Measurement (SMM7) or New Rules of Measurements (NRM) and Civil
Engineering Standard Method of Measurement (CESMM3) respectively.
The changing roles and responsibilities: The application of BIM to support crossdisciplinary, knowledge-intensive and multi-faceted projects opens new dimensions in the
roles and responsibilities of actors in the construction industry. The relationships between
the various actors are likely to change. While new roles with special responsibilities and
skills (e.g. Model manager, BIM analyst, BIM modeller, BIM facilitator, etc.) will emerge
(Sebastian 2011; Barison and Santos 2010), there is an anxiety that some actors (e.g.
quantity surveyors) will lose their roles.
Procurement challenges: Current procurement methodologies are ill-suited for the rolling
out of BIM in the construction industry. The majority of current procurement methodologies
limit the participation of various actors right from the early stages of construction. For BIM
integration to be a success there is a need to involve all construction team members
including contractors and sub-contractors from the early stages. In addition to the
sustainability dimension, BIM and procurement processes constitute the three pillars that will
drive the way forward for IPD. These three inter-related issues were strongly echoed in the
UK Government Construction Strategy, published in May 2011(GCS, 2011).

5. Preliminary framework for the delivery of standardised schools


In sections 1 and 2 we have argued how IPD and BIM systems can be used in delivering
standardised schools. As long as the challenges in deploying BIM persist the benefits from
rolling IPD and BIM systems will hardly ever be realised. It is no wonder that experts from

205

the construction industry have suggested that IT researchers should align with construction
practitioners when developing and proposing IT solutions (Gu and London, 2012). This
suggests construction industry problems require wider participatory approaches not only
from construction professionals but also from other industries working collaboratively in
developing innovative solutions. Furthermore, in an industry where almost all projects are
handled in multi-disciplinary and multi-organisational terms, the lack of clarity on roles,
responsibilities and distribution of benefits in adopting the BIM approach is an important
inhibiting factor (Holzer, 2007). Therefore, the challenge in the development of an IPD and
BIM solution in delivering standardised schools is multi-dimensional requiring the sourcing,
harnessing and using skills of actors both within and without the industry and using them in
delivering standardised schools using IPD and BIM approach.
The methodology adopted in this study consists of a literature review, workshops, interviews
and case studies. The literature review focuses on different projects that have been
delivered through IPD in the UK. This will lead to the establishment of potential factors and
decision points to be considered in the development of a framework for the delivery of
standardised schools using IPD. We will also conduct a detailed analysis of construction
project life cycles (CIOB, 2010) with the view of identifying opportunities and phases where
BIM and sustainability can be integrated. Procurement methods are also currently being
reviewed for potential recommendations to accommodate IPD and BIM. We are currently
exploring BIM Overlay framework developed by RIBA (Sinclair, 2012). Based on these
reviews a preliminary framework for delivering standardised schools using IPD has been
designed and presented in Figure 1.

Figure 1: Preliminary IPD/BIM framework for the delivery of standardised schools

206

Given the novelty of the domain, a series of workshops will be organised and opinion of
experts developing standardised buildings in the UK will be sampled and used in developing
and validating the preliminary framework. A pilot Sandpit event will be organized for key
members of the supply-chain who will use the enhanced BIM for real-time collaborative
working in our first live project. A focus group will be held at the end of this event to provide a
preliminary evaluation of this new approach, which will be used to further refine the
processes.
The project kick-off meeting for our second live project will be a Sandpit. Supply-chain
members will attend the event which will provide a safe play environment to critically review
alternative options and to evaluate the effect of different design and construction alternatives
on project performance using the collaborative BIM (cBIM) that will have been developed
earlier on in the R&D project. BIM will also give them access to previous project knowledge
to improve the product and the process. One example is to generate work packages using
the information kept in the recycled BIM in order to evaluate and optimize them according to
performance targets such as cost. Attendees will start evaluating this novel approach to
collaboratively working so that it can be benchmarked against current approaches to
designing and delivering schools using standardised designs.

6. Discussion and conclusion


In this paper we have reviewed the literature on IPD and BIM. We noted that IPD can be
achieved without BIM; however BIM can be used to facilitate IPD. Thus, as discussed in
most literature, BIM is currently being considered as a vehicle to achieve IPD. To gain an
insight of the BIM tools, the most widely used ones in the UK were examined. It emerged
from the review that despite the widely popularised benefits of BIM there exist enormous
challenges to overcome before many project actors can fully embrace BIM. The challenges
were grouped into two main categories. First the technical challenges related to nature of the
BIM technologies and secondly non-technical related to the human and industry practices.
The challenges constitute part of a wider range of issues that should be overcome for IPD to
be implemented in projects. With this in perspective, we proposed an approach to develop a
framework for the delivery of standardised schools in the UK. The five components of the
proposed framework are BIM technology, sustainability considerations, actors or people,
processes (i.e. procurement and project life cycles) and project performance measures.
The BIM technology is about the constituents of BIM technologies and processes that can be
used in managing a construction project. In particular in collaboration with our project
partners, the most appropriate BIM technologies and processes that can be used in
managing standardised school information will be established. The sustainability component
will be about the different sustainability issues needed to be included in the development of a
standardised school. The set of sustainability indicators will be established through
brainstorming with our project partners. The use of BIM in managing construction information
requires new roles. These are people related issues. With regards to standardised schools,
new roles and relationships within the project teams will be mapped out. New processes,
particularly in terms of procurement and construction lifecycles will need to be developed in

207

order to support IPD. Project performance measure, the last component, will be used to
identify the project efficiencies (or otherwise) that can be achieved by using cBIM.

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Engineering, Construction and Architectural Management 18: 176-187.
Sinclair D (Editor) (2012) BIM Overlay to the RIBA Outline Plan of Work. Royal Institute of
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The Process Of Implementing Project Management


and BIM In The Colombian AEC Industry.
Mario Flrez1, Jos Guevara2, Ana Ozuna3, Hernando Vargas.4
Abstract
Since 2006 the Engineering and Construction Management research group at Universidad
de los Andes has documented 20 case studies of Colombian companies using or
implementing Project Management and BIM tools. Results showed that knowledge and
understanding of Project Management and BIM principles, top management support, and
organizational culture are the most influential factors when formulating an implementation
strategy. It was also observed that some of the requirements for implementing BIM, such
as transparency, process efficiency and new decision making procedures, made the
process particularly challenging for some actors in the supply chain. The purpose of this
paper is to present the results of a comparative review of these research projects. After
analysing common failures described on the industry, it was found that most of BIM
principles involve managerial improvements, therefore implementing contractual
mechanisms to demand BIM in private and public biddings would surely improve industrys
efficiency.
Keywords: Project Management, BIM, literature Review, Colombian AEC industry.

1. Introduction
Over the past decade, the Colombian Architecture, Engineering and Construction (AEC)
industry has grown significantly. The AEC industry has been analysed in several MA
dissertations in order to identify the failures and advantages of project execution. The most
concurrent topics in such dissertations from Universidad de los Andes since 2006 will be
analysed in order to identify the recurrent themes, main failures and propose future research
subjects.
The approach proposed describes recurrent subjects found in the dissertations treating two
main topics: Project Management and Building Integrated Modelling (BIM). These topics
were selected based on the importance and advantages evident when leading construction

Research assistant; Civil Engineering; Universidad de los Andes; Cra. 1 Este No. 19 a - 40 Piso 6
edificio Mario Laserna; mh.florez25@uniandes.edu.co
2
Instructor; Civil Engineering; Universidad de los Andes; Cra. 1 Este No. 19 a - 40 Piso 6 edificio
Mario Laserna; ja.guevara915@uniandes.edu.co
3
Instructor; Civil Engineering; Universidad de los Andes; Cra. 1 Este No. 19 a - 40 Piso 6 edificio
Mario Laserna; ap.ozuna1442@uniandes.edu.co
4
Associate Professor; Civil Engineering; Universidad de los Andes; Cra. 1 Este No. 19 a - 40 Piso 6
edificio Mario Laserna; hvargas@uniandes.edu.co

210

industry; therefore, identification of the main barriers are relevant for improving Colombian
productivity and success rates in Architecture Engineering and Construction (AEC) projects.
With respect to Project Management, two main categories arise as the most recurrent, Risk
Management and Cost Management, each is described based on the main failures
identified, and compared to international standards. Similarly, an identification of BIMs
advantages and requirements for implementing this technology is analysed and compared to
internationally defined maturity levels.
Nevertheless, the themes that will be treated on this paper are among a variety of project
management strategies such as Lean and sustainable construction, that Universidad de los
Andes has studied and published on different academic works.

2. Research methodology
The selection of dissertations for the elaboration of this paper was based on filter criteria
according to the projects title and topic. The topic must be related to the main work areas
established by the PMBOK which include Knowledge Management, Risk Management and
Cost Management.
Several of the dissertations reviewed suggest the inclusion of an instrument for improving
practices. Therefore, documents regarding Building Integrated Modelling (BIM) were
included in the review and searched for, in the Uniandes database.
Examining the content of these papers, the common trends and propositions for future
studies were analysed and compared with international trends. The most frequently cited
academic papers were included in this research document. Table 1 lists all the documents
and main topics reviewed. The methodology proposed is based, in the first place, on a local
literature review that includes the most relevant documents presented since 2006 at
Universidad de los Andes; and secondly, an international literature review based on the most
frequently cited documents and new trends in such topics,. Finally, according to the literature
reviews, a classification of the state of Risk Management and BIM development in Colombia
was completed.

3. Project management
Project management has been defined as the standard to deal with and create changes
within several management practices such as creation of new products, services or changes
in organizational processes (Cleland & Gareis, 2006). Several changes have occurred over
the past years whereby Project Management turned from being a rudimentary processpart
of general managementto an independent, well-structured and defined process
recognized by several associations such as PMI (Project Management Institute) and IPMA
(International Project Management Association). These associations have documented and
guided the best practices in order to undertake an accurate analysis based on cost,
schedule and technical performance. According to the PMI, the main areas of focus for

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successful project execution are: time, cost, quality, scope, risk, procurement, human
resources and integration management.

BIM

Risk Management

Project Management

Cost / financial management

General topics

Table 1: Documents revised for the elaboration of this document

Author and year of publication

Main topics

Liberatore, Pollac, & Smith (2001);


Cleland
&
Gareis(2006);
Caycedo(2007);
Galn(2007);
Imbeah & Guikema (2009); Lpez
(2010); Morales (2010); Zandin
(2011); Morales (2011).

Tools for controlling cost, time and quality on projects;


Project Management organizational schemes. Better
practices;
Methodology
and
software
design;
Management Model (APRAM) for managing schedule,
cost, and quality risks in the construction industry;
Project Management generalities and evolution;
Evaluation of human resources on a project
management group.

Hegazy & Perzold (2003); Rivera


(2007); Correa (2007); Lucero
(2008);
Cuello(2008);
Lipke,
Henderson, & Anbari (2009);
Zapata(2010);
Piedrahita(2010);
Velasco (2012); Garvin & Ford
(2012).

Cost optimization and dynamic project control;


Scheduling, resource management and cash-flowanalysis; Financial modeling; Profitability on priority
housing projects; Real projects best practices; Cost
control structure; Budget control standards; Budget
database actualization and completion; Earned Value
Method (EVM) improvements; Free cash flow of a
project based on risks and mitigation measures;
Influence of inflation in the variation of prices of raw
materials and services; Real Options on financial
evaluation of projects.

Garca (2007); Redondo (2007);


Mendoza (2007); Salgado(2008);
Guevara (2008); Puentes (2008);
Acevedo (2010); Rodriguez (2010);
Abdelgawad & Robinson (2010);
Zou, Chen, & Chan-(2010); Beltrn
(2011); Duque (2011); Alarcn,
Ashley, Sucre, Molenaar & Ungo
(2011).

Torres (2007); Isaza (2008);


Succar (2009); Castaeda (2009);
Iguarn
(2010);
Eastman,
Teicholz, Sacks, & Liston (2011);
Snchez & Valencia (2011).

Risk analysis; Methodology for implementing a "learned


lessons" philosophy; Common risks presented during
planning phase; Corrective actions that must be done to
avoid risks; Risk identification, register and analysis
during the operation and maintenance phase on
construction projects; Case of study, identify, quantify,
analyze and control risks present; Uncertainty
management of activities' duration; Mode and Effect
Analysis (FMEA) in the construction industry for
mitigation of risks; Development and prove of a tool for
evaluating state of risk management; Risk Analysis on
public contracts; Comparison between the PMBOK and
the NTC 5254 (Colombian regulation) on risk
management procedures; Contingency model via Monte
Carlo simulation for risk analysis and for providing
contingency assessments.
BIM influence on design, cost and scheduling on
projects; BIM implementation plan for Colombian
companies; Revision of BIM implementation on a
Colombian AEC company; International guidelines and
BIM Framework; BIM generalities and most relevant
aspects for implementing BIM in Colombian industry;
BIM literature review. Feasibility of BIM implementation;
BIM generalities regarding definition, requirements,
stakeholders and advantages of this implementing this
technology; Case of study a Colombian AEC company
and the methodology for implementing BIM in the
organization.

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3.1 Risk Management


Project Management Body of Knowledge (PMBOK) defines Risk Management as the
process concerned with identifying, analyzing and responding to project risk (PMI Standards
Committee, 1996). An effective risk management leads to the minimization of negative
impacts on the objectives, cost time and quality of a project, through improved practices to
deal with uncertain events.
3.1.1 Local Literature review
According to Colombian studies undertaken by MA students in Project Management for
Construction, the importance of risk management is related to the nature of the Architecture,
Engineering and Construction (AEC) industry; catalogued as one of the most dangerous
(Sura, 2012) and recurrently affected by risks. Therefore, it is essential to qualify and identify
the risks that companies involved within this sector and projects are exposed to.
The current state of project success in Colombian public biddings is alarmingly low,
according to Beltrn, only 44% of the total projects planned by a public entity during the
years 2006 and 2007 (311) were delivered based on the initial plan (Beltrn Real, 2011).
Such statistics suggest that the initial phase of projects (planning phase) is not being
appropriately developed; which naturally reflects the importance of this process where
uncertainty is prevalent, risks are more probable and the basic decisions that define a
projects scope, requirements and success are made (Muoz Redondo, 2007).
In relation to analyses undertaken over the past 6 years, the main causes involved with
project failure on scope, quality, cost or schedule is initially related to the lack of a wellstructured definition of projects, caused mainly by the inexistence of a serious planning
methodology and unreliable control entities. All Colombian AEC projects must be validated
by a local public entity, responsible for checking that normativity on urban, structural and
architectural designs is in accordance with the regulations. Although, these entities do not
have a standardized process for construction license approval, the criteria used is based on
particular concepts and different interpretations of legal regulations, which consequently lead
to major problems during and after construction (Mendoza Paternina, 2007).
On the whole, the importance of classifying risk is to find possible mitigation methodologies.
Some of the strategies identified lean towards the implementation of new technologies and
simulation tools (Puentes Hernandez, 2008) in order to improve planning, control and
efficiency so that differences between executed and planned projects can be reduced (Salas
Callejas, 2008).
Particularly in the case of the Colombian AEC industry, it has been shown that the
construction of the basic unit model not only improves sales efficiency, but helps to identify
and correct design errors before the construction phase begins (Salgado, 2008). However,
the most recurrent and important method identified was the implementation of knowledge
management, discussed next.

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3.1.2 Knowledge Management


In Colombian practice, knowledge management has been one of the least developed
practices involved with project management (Galn, 2007). The importance of this area is
based on the supply of tools to positively influence the decision-making process during
project execution (risk mitigation). The main input is a representative database resuming the
history, projects executed and influential decisions made with their impact.
As mentioned previously, the Colombian sector does not understand the relevance and does
not provide the personnel required to manage, store and analyse information regarding
projects in the private and public sectors. Not even the most important company in the
Colombian AEC industry, in charge of representing the public contractors, manages its
information appropriately (Galn, 2007).
In order to evade the negative effects that risks could entail, several studies suggest that a
complete database, that involves internal and external rules such as requirements on legal
normativity (Caycedo, 2007), must be put together. To achieve success on any construction
project, all the members of the company must be involved with the risk management process
and contribute to the risk database at all the phases of the project. (Garca Villamizar, 2007).
This database shall be used as the main input for the construction of a Risk Breakdown
Structure that clearly characterizes and identifies risk and the respective mitigation, based
on a learned-lessons philosophy (Duque Tejeiro, 2011).
3.1.3 International literature Review
After reviewing some studies developed globally and cited by several academic papers, it is
evident that efforts are continuously increasing and even the most important projects such
as the Panama Canal expansion, develop and invest in leading risk management
techniques. In particular, the conventional concept of analysing cost and time effects
separately has been replaced by an integrated view of these dimensions to obtain common
risk factors and perform and adequate analysis of vulnerability during the different phases of
the project. According to Alarcn et al (2011), a successful view of risk management is a 10
steps iterative-process where risks should be identified, analysed, prioritized, managed,
triggered, measured, tracked, so a critical risk analysis and additional mitigation actions can
be defined. Using this methodology, risks can be more accurately identified and the project
managers can develop specially designed strategies to mitigate vulnerability and
contingency levels.

3.2 Cost Management


Cost management is defined by the PMBOK guide as the processes that involve estimating,
budgeting and controlling costs so that the project can be completed within the approved
budget (PMI Standards Committee, 1996).
Compared to risk management, cost
management in Colombia is in a higher stage of development, possibly because the
importance of budget control, the evident impact on project success and the nature of
financing projects lead to better practices in this area.

214

3.2.1 Local Literature review


As defined by Rodriguez (2010), most private Colombian AEC projects are based on a
capital structure that involves equity and debt, the latter in a much higher proportion.
Therefore, the project must be clearly defined on cost and schedule in order to formulate a
cash flow based on expenditures and obtain a construction loan via building societies
(Correa, 2007).
Local research has uncovered the need for the implementation of a general economic Net
Present Value model for each project. It must be designed to modify the most important
variables regarding participation of the whole cost, to identify the critical elements and
design a proper business structure (Zapata, 2010). The main variables that influence budget
on typical Colombian construction projects are Workforce, Concrete and Steel prices
(Cuello, 2008); hereafter research into project development must be based on sensibility
analyses of these main variables.
3.2.2 International literature Review
Among international trends, Real Options have turned into a recurrent topic related to project
evaluation regarding cost management. These options are strictly related to real projects
based on the production of services or wells such as AEC projects, which are usually
analyzed via Net Present Value. In terms of Real Options, an analysis is made according to
the different decisions and scenarios that the environment and project execution can present
with their respective probability of occurrence. After such analysis, the project manager has
the flexibility to study the whole project and decide whether to continue, resize, freeze or
abandon the project.
As already mentioned, AEC project environments are very variable and directly affect the
development of any project, so a proper Real Option analysis can be very helpful in
providing the necessary tools for making the right decisions that will lead to positive results
(Garvin & Ford, 2012).
Although, international evidence emphasizes the importance of Probabilistic and Net Present
Value project analyses, the Colombian AEC industry presents some limitations brought
about by traditional risk management techniques still implemented by most project
managers. Project managers are prone to making decisions that reduce uncertainty,
therefore professionals in this industry usually do not select new ideas, they prefer to use
conventional processes instead of investing time and resources on well-structured decision
making methodologies (Garvin & Ford, 2012).
However another three main elements were identified as common deficiencies. Managers in
this industry are loyal to the first budget made; they dont refresh values, so budgets that
could initially lead to successful projects, prove not to be profitable once execution begins
(Piedrahita, 2010). Another critical element that must be considered for determining the
prices and consequently the success of any housing project is sales speed as this implies
loan costs from the early phases if the project is not sold rapidly (Velasco, 2012). Finally, the

215

lack of a defined methodology for time control and analysis of work planned vs. work
performed leads to cost control failures when deciding which strategy should be
implemented to finish with the initial budget (Lucero, 2008).

3.3 Maturity level


In addition to process definition, several attempts have been made to analyse the state and
the culture of an organization's risk management capabilities. RM3 (Risk Management
Maturity Model) was a tool created to develop a maturity assessment model, in which 5 main
attributes were identified: Management, Risk Culture, Ability to identify risk, Ability to analyse
risk and Application of standardized risk management system (Zou, Chen, & Chan, 2010)
In order to be in the highest level or maturity of risk management according to Zou et al.
(2010) the company must: Continuously improve to maintain mature in risk management
capabilities, ensure continued commitment by upper management and perform regular
reviews of processes and techniques to guarantee the quality of risk management
applications and practices. Other practices include investing in improving risk processes,
identification techniques, risk analysis tools, employee skills and provide regular training to
employees to maintain high levels of knowledge and skills.

According to these parameters, the Colombian AEC companies analysed are in the lowest
phase of development, the main characteristics described in the case studies highlight the
involvement of the upper management and their attempts to create a generic risk
management process. Nevertheless, very low levels of training within the employees are
identified and, as mentioned above, there is a huge failure in terms of documentation and
even conceptual definition of the projects. Figure 1 summarizes the level of risk
management in Colombia based on Zou et Al. (2010) levels.

216

4. BIM
BIM (Building Integrated Modeling) has been defined as one of the worldwide predominant
trends to manage projects in the AEC industry. It is a representation of projects that changes
the conventional 2D CAD model into an nD model that, instead of representing elements as
lines, describes a series of objects with attributes (materials, team leaders, cost, etc.) that
allows a better visualization and, therefore, avoids clashes between various systems
(Eastman, Teicholz, Sacks, & Liston, 2011).
The main advantages of implementing this model are the reduction of industry
fragmentation, improvement of efficiency, lowering of the high costs of inadequate
interoperability, design support throughout the phases, project control throughout its life
cycle, and regulation of the project team providing a well-defined mechanism to identify
changes in roles and relationships (Succar, 2009).
Consequently the whole project is of better quality, lower costs and shorter durations, which
can be understood as improvements in terms of knowledge and cost management, treated
previously in this document.
4.1.1 Local Literature review
On Colombian companies, BIM is not a common trend, although among the studies included
in the research methodology, two companies had already begun the process of
implementing BIM as their modeling strategy for projects. According to Snchez & Valencia
(2011), the main barriers found in this process are the initial cost of acquiring the software,
training personnel, technical support and the cultural change of modifying the standard
process that has been used for a long time.
One of the companies analyzed had already begun this process, but the whole concept of
implementing this technology was understood as the acquisition of the basic software and
basic training. Only a few designers from different areas of expertise were instructed and,
mounting the whole project in BIM has turned into the responsibility of those few, meaning
that the work kept being fragmented (Iguarn, 2010). The second company that uses BIM
technology began to do so because its main contractor demanded this technology as the
standard for planning and developing their projects, therefore this process and the better
practices were basically obligatory if they were going to stay in the business (Isaza, 2008).
Although, the analysis proved that the technology was not being completely exploited and
the main improvements that BIM assures were not being accomplished, a huge and
recurrent mistake is that companies do not have the level of detail required to take
advantage of the program and the model is only being used during the design phase.
Therefore, the improvements in terms of the whole process and results are very limited
(Castaeda, 2009).

217

4.2 Maturity level


Based on the maturity stages of BIM proposed by Succar (2009), it was found that the
companies studied in the theses included in the literature review, are divided into two levels;
Pre-BIM status and Object based modeling synopsis. The former is the basic stage in which
project documentation is 2D, quantities and costs are not related to the model or
documentation, work flow is linear and asynchronous and there is a low investment in
technology and lack of interoperability. The object based modeling synopsis is characterized
by single-disciplinary models, a lack of collaborative philosophy and disjointed
communications. In order to get to the Integrated Project Delivery (IPD) level, which is the
highest, coordination, communication, decision support, and other work processes enabled
by integration of data in all directions must be implemented and standardized. Figure 2
locates the Colombian level of maturity regarding BIM based on Succar (2009) maturity
stages.

5. Conclusions
Most of the documents reviewed in this paper, studied individual cases related to specific
areas of project management regarding practices among small and mid-sized companies.
Nevertheless, other studies have been made to define the process of implementing
managerial techniques among most relevant companies in the industry; as detailed studies
of practices implemented by leader companies on innovation, planning and management. It
is worth to mention that an effort is being made to spread and implement better practices
among agents involved in this industry, and big companies have proven to comprehend
them.
As described above, it is evident that the mid and small sized Colombian AEC industry
companies present very low grades of development according to the scales established

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internationally with respect to risk management, knowledge management and BIM


implementation. Therefore, a well-defined strategy must be employed to reduce the main
deficiencies present, and improve the poor rates of success that are present on the
execution of Colombian projects. Among the malpractices that should be highlighted, are the
inner and outer fragmentations present within companies that hinder integration, knowledge
management and the constant learning process that leads to the implementation of better
practices.
According to the studies analysed, the most common risks present in the Colombian AEC
industry are related mainly to planning and financial failures. In order to mitigate planning
risks, a better-established process for approving construction licenses must be developed
with the intention of reducing the adversities present during construction and encourage
better planning phases for projects. The definition and standardization of the approval
parameters is suggested as future work for the local planning authorities, which surely will
ensure better success rates on public and private projects.
Insofar as financial failures, international trends such as real option evaluation and Net
Present Value sensibility analysis of the most important materials that determine the viability
of projects must be made.
The advantages of BIM were continuously cited as present failures of the AEC industry,
consequently the implementation of this technology can be identified as one of the most
feasible options to improve industry results. Although it was also observed that some of the
requirements for implementing BIM, such as transparency, process efficiency and new
decision making procedures, made the process particularly challenging for some actors in
the supply chain.
The impacts and requirements of implementing a contractual methodology to overcome
these difficulties and boost positive results via demanding the use of BIM for participating on
public and private biddings are suggested as a future work.

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221

Application of Relationally Integrated Value


Networks in the Implementation of BIM for Better
Life Cycle Considerations of Buildings
Aoxiang Ren, Mohan M Kumaraswamy, Kelwin Wong and S. Thomas Ng

Abstract
Emerging as an innovative tool with rapidly increasing usage in the construction industry,
Building Information Modeling (BIM) can provide a platform to enable two dimensions of
information exchange, namely i) information sharing among relevant participants within a
certain project phase; and ii) information exchange between two or more project phases.
The latter is of vital importance to help achieve potential life cycle benefits of BIM.
However, a significant gap exists in information flows in current BIM implementation in Hong
Kong, between 'Design & Construction' (D&C) and Operation & Management' (O&M). This
paper discusses the potential application of a relational management framework named
'Relationally Integrated Value Networks' (RIVANS) to guide the process of information
exchange between D&C and O&M in a BIM system. Possible causes of the above
information flow gap are explored and proposals are developed based on RIVANS principles
to bridge this gap. Findings and recommendations presented in this paper should pave the
way for enhancing information flow in BIM across various phases of a construction project,
thereby enabling integrated efforts for improving building life cycle performance.
Keywords: Building Information Modeling (BIM), relational management, integrated
teams, information exchange, life cycle approach.

1. Introduction
Smooth channels for rapid exchange of relevant knowledge and skills among interacting
participants through the project life cycle, in terms of design, construction and operations,
are increasingly needed (Kumaraswamy, 2011). BIM is one of the promising channels due to
its ability to advance the information exchange through the whole project life cycle. The
potential life cycle benefits of BIM are commonly acknowledged by the industry across the
world, as evidenced in the various definitions of different institutions. For example, the
National Building Information Modeling Standard (NBIMS) defines BIM as a digital
representation of physical and functional characteristics of a facility and it serves as a shared
knowledge resource for information about a facility forming a reliable basis for decisions
during its life cycle from inception onward (NBIMS, 2007). Meanwhile, as one of the major
BIM software vendors, Autodesk (2011) defines BIM as an intelligent modelbased design
process that adds value across the entire lifecycle of building and infrastructure projects.
Life cycle is a key word that is emphasised in the above two definitions. In the Hong Kong

222

industry, the Hong Kong Institute of Building Information Modeling (HKIBIM) adopts a simple
definition that BIM is the process of generating and managing building data during its life
cycle (HKIBIM, 2011).
Placing BIM firmly within the life cycle umbrella indicates that BIM is able to benefit the
various stakeholders in different ways in each project phase, from design to operation.
Eastman (2011) summarizes a list of benefits that BIM can generate in different projects
phases, such as earlier visualizations for the client in the design stage, improved basis for
component fabrication in the construction stage and better facility management in the
operation stage. One of the key factors to ensure the realization of the life cycle benefits is
the consistency of the BIM system in the projects whole life cycle. Two kinds of supply
chains, namely the 'Design & Construction' (D&C) supply chains and the Operation &
Management' (O&M) supply chains, are mainly responsible for the presently segregated two
principal phases in a building projects life cycle. Therefore, in order to achieve the potential
life cycle benefits of BIM, an efficient information exchange mechanism between these two
supply chains needs to be built into the implementation of BIM.
However, in the Hong Kong industry, most projects implement BIM in their D&C phase only.
Two reasons might explain this situation: 1) not being aware of BIMs potential benefits in
their O&M phase, 2) failing to extend the BIM systems into O&M phases due to the poor
information exchange mechanisms between the two supply chains mentioned above. To
address the first reason or barrier, along with the maturing of BIM implementation, the
industry should gradually see the benefits in O&M phases. Therefore, this paper focuses on
the second barrier, discussing the potential application of a relational management
framework named 'Relationally Integrated Value Networks' (RIVANS) to guide and smoothen
the process of information exchange between the Design and Construction (D&C) and the
Operation and Maintenance (O&M) teams in a BIM system, so as to accelerate and improve
the two-way flow across this channel in the Hong Kong industry. RIVANS is a
conceptualization of aligning and re-aligning divergent or otherwise conflicting values and
behaviours towards integrated team working and a confluence of consolidated high
performance levels in both project and strategic networks.' (Anvuur and Kumaraswamy,
2011). While RIVANS was first proposed for D&C teams (Kumaraswamy, et al., 2009), its
conceptualization has been recently extended into Total Asset Management (TAM)
(Kumarawamy et al., 2012 ). One of its main objectives in this extended and holistic context
is to identify common goals and values between D&C and O&M teams, so as to bridge
and synergise D&C supply chains with O&M supply chains efficiently. Later sections will
expand on the above while including specifics. The purpose of this paper is to develop
relevant outline proposals based on RIVANS principles and the on-going RIVANS for TAM
research to inject more focused and valuable life cycle considerations into BIM
implementation in the Hong Kong industry.
This reported research is a part of a study which aims to advance BIM implementation
through integrated working arrangements and the reported findings in this paper formulate
the theoretical foundations for developing long term integrated working arrangements for the
whole research project.

223

2. Research methods overview


This reported research is supported by findings from individual interviews conducted in the
Hong Kong industry, a BIM case study in Hong Kong, proposal development based on
RIVANS principles and interim findings from an on-going research project entitled RIVANS
for Total Asset Management (TAM). Since most of the data was collected in the Hong Kong
industry, the conclusions of this paper are more applicable in Hong Kong, but similar
methods may be used to elicit and compare findings from other jurisdictions. To avoid
duplication, the research methods are described along with the respective findings in the
following sections.

3. Current gaps between D&C and O&M in BIM teams


implementation in Hong Kong
The captioned gaps were explored through 18 separate semi-structured interviews and a
case study.
All of the 18 interviewees were experienced BIM practitioners or researchers in Hong Kong
industry, covering a wide range of stakeholders in terms of clients (private and government),
main contractors, BIM consultants, architects and Mechanical-Electrical-Plumbing (MEP)
contractors. They provided their opinions on the question about changes and issues in
information exchange mechanisms in projects that adopted BIM.
The case study was conducted on a representative BIM project (named Project A in this
paper) in Hong Kong. Planned in 2004 and completed in 2008 by a private client, Project A
was one of the first projects that implemented BIM in Hong Kong. Since there was very
limited previous BIM project experience to refer to, Project A could be regarded as a
meaningful pilot project that tried to implement BIM across the whole project life cycle, also
providing a benchmark in the context of Hong Kong industry, for later projects to reference in
the areas of information exchange mechanisms, operation flow and organizational structure,
in the context of Hong Kong industry.
The proposed or as expected life cycle information flow in Project A is illustrated in Figure
1, showing the ideal scenarios of information exchange at each connection point between
any pair of project phases. BIM models created in the previous project phase were supposed
to be directly enhanced to new BIM models that could be used in the next project phase. In
this case study, BIM models created in the design phase could be named as the tendering
BIM and BIM models created in the construction phase could be called the construction
BIM, while BIM models created in the operation phase could be named as the operation
BIM. It was expected that Tendering BIM should be able to be enhanced directly into
construction BIM and construction BIM should also be able to be enhanced directly into
operation BIM.

224

Figure 1Proposed information flow in Project A

Figure 2: Real information flow in Project A


However, the as happened real BIM implementation process in Project A is illustrated in
Figure 2. Huge gaps between tendering BIM and construction BIM made the proposed
direct transformation impossible. It was alleged that the main contractor spent almost twice
the efforts, as spent on the tendering BIM to create a usable construction BIM that was
applicable in the construction phase. Information exchange between the D&C and O&M
teams was even more difficult and the expected operation BIM never really materialized.
The main gaps between D&C and O&M teams in BIM implementation were identified and
categorized through the individual interviews and case study as follows:
There were no relevant standards in the industry to define an appropriate BIM
implementation process which was supposed to include efficient information
exchange mechanisms to guide the stakeholders. This confusion was reported by some
clients who decided to implement BIM in new projects. Clients needed to set up BIM based
information exchange mechanisms by themselves, of course drawing on the services of BIM
consultants. Regular coordination meetings were the main approach to ensure timely
information exchange within a particular project phase. However, for the information
exchange between two project phases, few projects could develop an efficient system for
BIM.

225

Specifications about BIM models were too vague to answer the question of what kind
of information should be contained in the D&C teams BIM models so as to benefit
the O&M team. The D&C team built BIM models based on their own needs and
knowledge. They were unwilling and/or unable to reflect O&M teams needs in their BIM
models.
Current project processes restricted the formation of efficient life cycle information
exchange mechanisms in the BIM system. BIM is a system that requires the early
involvement of key participants, while most projects in the Hong Kong industry are delivered
by Design-Bid-Build, leaving little room for this to happen, given the staggered and
discontinuous involvement of key team members.
Facility managers were inexperienced in expressing their BIM requirements to
upstream stakeholders, such as designers and contractors. Some BIM consultants
mentioned that some clients were indeed willing to extend BIM into operation phases, but
the facility managers did not know what kind of information should be contained in the earlier
BIM models. They did not have the experiences of adopting BIM in the operation stage,
suggesting a chicken or egg type stale-mate in this particular learning curve.
Since BIM required extra efforts from stakeholders but benefited the clients most,
conflicting value objectives seemed to be generated by individual parties goals vs
the projects whole life cycle goals. Aligning different stakeholders value objectives is
always a critical issue in the industry and BIM implementation requires a higher level of
focus on identifying and/or aligning the common value objectives among the participants.

4. Introduction to Relationally Integrated Value Networks (RIVANS)


4.1 Basic concepts of RIVANS
Focusing on the last (but certainly not least) gap as listed in the above section, this is
indeed a typical problem in the construction industry in general. Although many highpowered industry improvement reports in different jurisdictions, e.g. Latham (1994), Egan
(1998), Construction Industry Review Committee (CIRC) (2001), have urged integrating the
teams in D&C, this has yet to happen to yield the expected benefits, despite some
advances through for example, partnering and alliancing type initiatives. Hypothesizing that
such integration would not materialize unless stakeholders identify and focus together on
common value objectives, a concept of Relationally Integrated Value Networks (RIVANS)
was proposed through the Centre for Infrastructure & Construction Industry Development
(CICID) of The University of Hong Kong (CICID, 2007). RIVANS aims to develop a holistic
conceptual framework for relational integration of hitherto mutually suspicious project
participants into cross-linked value networks (CICID, 2008). The basic thrusts of RIVANS
are shown in Figure 3 (Kumaraswamy et al., 2012). Stakeholders in the supply chains form
the value networks based on their relational integration, to deliver both one-off projects and a
series of projects. There are two basic ideas in RIVANS that can illustrate its core concept:

226

Relational Integration and overall value of the network. Relational integration can be
achieved by directing a common focus on the overall value of the network, while members
of more integrated teams are more likely to be engaged and empowered towards both short
term and long term overall network value (Kumaraswamy et al., 2009).

Figure 3: Basic Thrusts in RIVANS


Relational integration implies a higher and deeper level of integration than the structural
integration that is expended from organizationally integrating say, the design and
construction teams in the Design-Build. It emphasises genuine trust and long term
cooperation among the various participants to achieve better project performance. Given its
trust and trust-based operational arrangements (Rahman and Kumaraswamy, 2012), higher
levels of information exchange efficiency can be expected among diverse participants in the
relationally integrated team members.
Overall network value in RIVANS implies that diverse members in the projects supply
chains, such as theD&Csupply chain and O&M supply chain, should focus on the
common best value for the whole project, instead of only on their own benefits. Joint Risk
Management (JRM) and pain share gain share mechanisms need to be established in
RIVANS through the project life cycle to achieve best for project scenario, of which there
are scattered examples as in the case study reported by Kumaraswamy and Rahman
(2006).
The above two terms of relational integration and overall network value represent general
principles that can be derived from RIVANS to help address the gaps in BIM implementation
that were indentified in the previous section. More applicable and directly relevant to the
present research would be an exercise to extend RIVANS into the area of Total Asset
Management (TAM), so as to encompass the whole life cycle of the built asset. Such a
project has commenced as outlined below.

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4.2 RIVANS for Total Asset Management (TAM)


RIVANS for TAM is an on-going research project that aims to 1) identify synergies and
added value that can be achieved through well-structured and focused collaboration
between those engaged in Infrastructure Project Management (IPM) and Infrastructure Asset
Management (IAM), and 2) develop concepts and working arrangements for RIVANS for
TAM (Kumaraswamy, et al., 2012).
A questionnaire survey has been conducted to collect input from D&C teams and O&M
teams in the Hong Kong industry. Participants were invited to indicate their level of
agreement on a series of activities (such as the implementation of BIM) that may contribute
to better value/synergies by linking the supply chains in the project lifecycle.
In addition, two organizations that were both engaged in D&C and O&M works were
selected to conduct case studies to identify the information exchange mechanisms, working
arrangements and communications between D&C teams and O&M teams.
Interim findings derived from the case studies while not specific to BIM, are more relevant to
help lay the foundations for developing proposals to achieve better life cycle considerations
of BIM. Most of these arise from the organizations current good practices in the areas of
information exchange mechanisms, working arrangements and communications between
D&C teams and O&M teams. Interim findings about these good practices that are directly
relevant to the indentified gaps in this reported BIM research, were recently summarized by
Kumaraswamy and Wong (2012):
1) O&M teams get involved in the project quite early and their design input was provided to
the D&C teams for consideration;
2) O&M teams conducted design reviews to ensure that their requirements had been
sufficiently reflected in the designs;
3) A series of high and mid-level management meetings were held to serve as the platform
for information exchange, working arrangements and communication between D&C
teams and O&M teams;
4) Monthly Technical Management Steering Committee (TMSC) Meetings served as a
bridge between the operation division and project division to share technical issues
related to new technologies, technical feasibility and previous experiences.

5. Proposals for applying RIVANS in BIM implementation for better


life cycle considerations
Based on the key principles of RIVANS and directly relevant interim findings in the RIVANS
for TAM research, a set of proposals are developed in this section to achieve more mutually
beneficial BIM implementation from a life cycle consideration.

228

1) The industry should develop localized BIM guides or specifications to define and/or
clearly identify: a) appropriate BIM processes which contain efficient information
exchange mechanisms spanning the project life cycle by linking various supply chains,
such as D&C teams and O&M teams, and b) the necessary data and information that
need to be input into the BIM models so as to benefit all the participants in different
project phases. When developing BIM-based life cycle information exchange
mechanisms, the industry can refer to findings from the on-going RIVANS for TAM
research. Early involvement of the O&M teams, design review rights for O&M teams
and the monthly held TMSC meetings are all useful measures to be considered;
2) In order to motivate all the participants, especially the D&C teams, to create and
contribute to the BIM models from a life cycle perspective, not only for their own interest,
Relational Contracting (RC) which allows for joint risk management and pain/gain share
in Target Cost Contracts is suggested to be gradually adopted by projects in the Hong
Kong industry (Kumaraswamy, 2012). As a Hong Kong-based RC proposal, RIVANS
appears applicable in Hong Kong projects to align the various participants values in
different supply chains to the common best value for the whole project. Once RIVANS
are established in the projects, participants, including the current least benefited
architects or consultants, may adopt more life cycle concerns while creating BIM models.
BIM models created in the early project phase will be more usable for the participants in
the next project phase, therefore, a smoother BIM model transferring between the D&C
phases and O&M phased can be expected;
3) Large clients (named as ongoing clients) who must manage a continuous project flow,
i.e., not just on one-off or on-off projects, may be advised to build their own RIVANS. The
efficiency of information exchange will be increased among participants in the RIVANS
due to the trust-based operational arrangements. Participants in the RIVANS which were
established for long-term cooperation would develop strong bonds after the completion
of several projects. In such scenarios where various participants understand each others
needs and are also willing to consider these needs in the BIM models, BIM can serve as
a truly smooth channel to meet the needs of rapid exchange of information, knowledge
and skills. Only then can the full potential of BIM be realized. An example of a large
clients RIVANS in the project management phase is illustrated in Figure 4 (CICID,
2012).

Figure 4: RIVANS of an Ongoing Client in D&C Phase

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6. Conclusions
BIM is an innovative tool that has the inherent potential to provide a highly efficient platform
for information exchange and knowledge through the whole project life cycle. However, this
potential is currently not translated into reality in the Hong Kong industry. Gaps in BIM
implementation from a life cycle consideration, especially between D&C supply chains and
O&M supply chains, were identified by interviews and a case study in this reported
research. Proposals based on RIVANS principles and interim findings from the RIVANS for
TAM research are developed from the industry level, projects level and organizational level
(particularly for on-going clients) in this paper. The proposals show possible long term
measures for the participants to adopt, so that they are able to derive broader potential
benefits from BIM through the project lifecycle.
The case study in this reported research was conducted on a project completed in 2008 and
the current scenarios have changed in some aspects. Also, RIVANS is a holistic conceptual
framework, while RIVANS for TAM is still an on-going R&D initiative and the findings
therefrom will need validation before the final outcomes. The above points highlight the main
limitations of this paper. Future works will include a BIM case study of a recent project and
relevant adjustments to the proposals along with the maturing of RIVANS principles and
RIVANS for TAM research.

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Management, Vol. 138, No. 4 April, 2012: 469-480.

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Exploring the conflicts between BIM and existing


project processes in Hong Kong
Aoxiang Ren and Mohan M Kumaraswamy
Abstract
The Hong Kong construction industry has in general, developed a basic appreciation about
Building Information Modeling (BIM), migrating from knowing what it is and how to use it to
adopting it in a few projects. However, most industry participants are still hesitant to adopt it
BIM more widely. This has been allegedly a typical attitude when our industry faces an
innovative technology. Meanwhile, the perceived requirements to adjust existing operational
processes to achieve further benefits from BIM development leads to many potential
conflicts, hence increasing participants concerns in proceeding further. Therefore, there is a
need to identify and understand the main conflicts between BIM and current project
processes, mainly referring to organizational structures and operational flows. Based on a
series of semi-structured interviews with senior BIM practitioners and experts from different
stakeholders in the Hong Kong industry, as well as a BIM questionnaire survey targeting the
Hong Kong construction industry, this paper illustrates the main conflicts and apprehensions
indicated above. These findings will lead to future research and then contribute to a
proposal to develop measures to accelerate progress towards more collaborative processes
for BIM implementation and consequential benefits realization in Hong Kong.
Keywords: BIM, conflicts, Hong Kong, project processes

1. Introduction
Taking the One Island East Project (started in 2004 and finished in 2008) to be one of the
first projects that substantially implemented BIM in Hong Kong, BIM has gone through at
least 8 years development in the Hong Kong industry. BIM functions have been gradually
developed to generate more benefits for the projects, but the current limited benefits still can
not persuade most stakeholders to adopt BIM in their projects in Hong Kong, given the cost
related to BIM implementation in terms of training, software and hardware. The principal
reasons for the perceived industry hesitation are the conflicts/barriers between BIM and the
existing project processes.
The relationship between BIM and project processes, being interactive and potentially
iterative, can deliver high synergies. BIM provides a much better platform to develop a more
collaborative working environment for a project, while a more integrated project process can
extract more and deeper benefits from BIM. This point was also illustrated in the guide of
Integrated Project Delivery (IPD), a relatively new procurement approach being populaized
in the USA (AIA, 2007) that aims to achieve higher level integration in the project processes.
The relationship of IPD with BIM was summarized as: Integrated projects could be done

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without BIM and BIM could be implemented in non-integrated processes; but only when they
were combined together, both of their potential benefits could be maximized (AIA, 2007).
Most construction project processes in Hong Kong can be categorized as non-integrated
processes, which indicates that BIM implementation in Hong Kong may encounter a series
of conflicts/barriers in the prevalent industry culture and scenarios. Therefore, this paper is
designed to explore the specific conflicts/barriers that limit BIM applications and potential
benefits in the Hong Kong industry.

2. Literature review on conflicts/barriers encountered in current


BIM implementation
BIM is not an innovative tool applied to only address a single independent issue, since its
scope can and should cover the whole project, affect all participants and last over the project
lifecycle. Therefore, the factors/barriers affecting the adoption of BIM span over a wide
spectrum.
According to Lu and Li (2011), attention is generally drawn to two categories of BIM factors,
namely the technical complexities of BIM adoption and the expected collaborative working
environment. The two resulting research areas also reflect the tool and process properties of
BIM. Gu and London (2010) provided similar categorisations of the two main factors, as:
technical tool functional requirements and needs, and non-technical strategic issues.
To be specific, under technical issues, interoperability in BIM is one of the urgent needs from
the participants. Research carried out by Grilo and Jardim-Goncalves (2010) concluded that
the interoperability in BIM was significant for the interoperability among the participants.
Bernstein and Pittman (2005, as cited in Azhar, 2011), also found that the data
interoperability across different software was one of the three major technical issues
retarding the BIM implementation, the other two issues being the computability of the design
data and the information exchange among the BIM components. Besides the interoperability,
a questionnaire survey carried out by Tse (2004) revealed other technical barriers, such as
poor library, low running speed of the system and lack of table customization.
On the other hand, on the issues related to collaborative working environment and project
processes, Lu and Li (2011) believed that BIM would change the traditional construction
industry over a wide range of its typical characteristics, including those of people, processes,
communication and work culture. Grilo and Jardim-Goncalves (2011) also claimed that BIM
was changing the way that companies were working, as well as providing new processes for
collaboration. Indeed, it is commonly accepted that BIM is both a new tool and a new
process. A new process requires relevant changes in the existing project processes to
generate a more collaborative working environment. However, changes will never be easy,
especially for the traditional construction industry. For example, one of the key factors to
ensure a truly well-implemented BIM is the early involvement of the key participants, but the
present procurement systems leave little room for this to happen. The architects or
engineers still carry out the design work independently in most projects in Hong Kong,

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without any input from the contractor, although there are positive moves towards Early
Contractor Involvement (ECI) in some countries (Rahman and Alhassan, 2012).
This paper will mainly focus on exploring the second issue mentioned above, namely the
conflicts/barriers between BIM and existing project processes in the Hong Kong industry.
This paper will present Hong Kong based findings from: 1) a series of semi-structured
interviews with senior BIM practitioners and experts from different stakeholders, and 2) a
BIM questionnaire survey targeted at the Hong Kong industry.

3. Research methods
As mentioned above, although case studies are also being conducted in the ongoing parent
study, two main research methods were applied in the reported research to explore the
conflicts/barriers when implementing BIM in current project processes in Hong Kong, namely
semi-structured interviews and a BIM questionnaire survey. Since both the interviews and
the questionnaire survey were carried out in Hong Kong, the research findings mainly reflect
the Hong Kong industrys present landscape.

3.1 Semi-structured interviews


Totally 18 individual interviews were conducted to collect practitioners and researchers
opinions about the conflicts and barriers mentioned above.The composition profile of the
interviewees is shown in Figure 1.

Figure 1: Profile of the interviewees


As in Figure 1, the interviewees are from various industry groupings in the Hong Kong
industry and hence play different roles in their projects. This cross-section is believed to
make the interview findings comprehensive enough to provide a reliable reflection of the
current situation in the Hong Kong industry.
Each interview lasted from 45 minutes to 60 minutes and the interviewee was invited to
provide his/her opinions on each of a series of BIM related questions, such as motivations

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for BIM adoption, current BIM implementing processes in Hong Kong and conflicts/barriers in
integrating BIM in the existing project processes. Findings related to conflicts/barriers were
derived from the interviews and are presented in Section 4 of this paper.

3.2 BIM questionnaire survey


Compared with the individual interviews conducted in this research, this questionnaire
survey presented a broader view about BIM development in the Hong Kong industry. One of
the objectives of this questionnaire survey was to explore the gaps and constraints that
retarded collaborative working in the BIM environment, being designed to help to probe the
conflicts/barriers mentioned above.
To be specific, in the third section of the questionnaire survey, respondents were asked to
express their opinions on the frequency and difficulty of the technical issues and nontechnical issues resulting from BIM implementation in their projects, as well as their level of
agreement on constraints that retard the collaborative working environment for BIM. A 1~5
Likert scoring scale was used to quantify their responses. For example, 1 indicates never
and 5 expresses always on the frequency of a particular issue, as listed in the options.
This questionnaire survey involved of two rounds of delivery, since the number of responses
was considered inadequate after the first round. Questionnaires were delivered to the
following target groups through emails:
1) Members of the Hong Kong Institute of Building Information Modeling (HKIBIM)
(142);
2) Interviewees of the individual interviews (31);
3) Committee members of Civil, Building Service and Structural Divisions of Hong Kong
Institution of Engineers (HKIE) (77);
4) Randomly selected Honorary Fellows, Fellows and Members of HKIE from Civil,
Building, Building Service and Structural Divisions of HKIE (645);
HKIE is the internationally recognized multi-disciplinary institution of engineers in Hong Kong
and randomly picked members from its civil division, building division, building service
division and structural division can represent the industrys common opinions on the iisues
probed in the survey. Meanwhile, HKIBIM is an institution particularly for BIM practitioners,
whose members have BIM related working or research experiences in Hong Kong.
Therefore, the target groups are appropriate to provide opinions that can reflect the
industrys attitudes and perceptions.
From 10th May 2012 to 17th September 2012, accounting for 8 overlapping persons and 65
undeliverable emails, 822 questionnaires were successfully delivered to the above groups.
Of 68 responses received, only 32 were considered usable and hence analyzed as
described in the next section.

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4. Research findings: conflicts/barriers between BIM and the


existing project processes in Hong Kong
4.1 Findings from interviews
The relevant conflicts/barriers as derived and distilled from the interviewees are as follows:
1) The existing project processes leave little space for the early involvement of the key
participants.
2) Clients are not aware of BIM benefitshence do not drive its implementation.
3) Architects generally follow the traditional processes, since BIM requires more efforts.
4) Contractors are generally hesitant, since not sure of the true benefits from BIM.
5) The Hong Kong industry provides limited time for the design phase in the project
process, while the creation of a BIM model usually requires more efforts and more time.
6) Mechanical-Electrical-Plumbing (MEP) contractors are mobilised quite late in the project
process.

4.2 Findings from the questionnaire survey


6 technical issues and 5 non-technical issues related to BIM were listed in the questionnaire
and respondents could indicate their opinions both on the frequency level and level of
difficulty for each issue through a 1~5 scoring system: (a) Level of Difficulty: 1-Quite Easy;
2-Easy; 3-Middle; 4-Hard; 5-Extremely Hard, (b) Level of Frequency: 1-Never; 2-Rare; 3Sometimes; 4-Common; 5-Always.
For the analysis of difficulty and frequency of the technical and non-technical issues, this
study adopted each issues average scores on difficulty and frequency to conduct the followup analysis. The product of difficulty average score and frequency average score were also
calculated. Issues with higher product values were considered as more critical
conflicts/barriers in BIM implementation. Results are shown in Table 1 and Table 2.
Table 1 Technical issues
Average Score
(Difficulty)

Average Score
(Frequency)

Difficulty X Frequency

Interoperability

3.10

3.16

9.79

Poor library

2.77

2.97

8.23

Lack of standards/guides

3.00

3.13

9.39

Long learning curve

3.32

3.23

10.74

High cost of the software and hardware

2.97

3.06

9.09

Answer Options

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Lack of BIM technician and Software are not


mature

3.67

3.67

13.44

Average Score
(Difficulty)

Average Score
(Frequency)

Difficulty X
Frequency

Changes in the operation process

3.16

3.16

9.99

Changes in the organizational structure

2.97

2.84

8.42

Changes in the information flow, conflicts with


the traditional project culture and employees
being reluctant to use new technology

3.52

3.39

11.91

Not all the stakeholders are adopting BIM

3.29

3.58

11.78

Not sure about the benefits of BIM

3.00

3.20

9.60

Table 2 Non-technical issues


Answer Options

Based on the above two tables, the first four critical conflicts/barriers encountered in BIM
implementation in Hong Kong industry are:
1) Lack of BIM technician and Software are not mature (technical);
2) Changes in the information flow, conflicts with the traditional project culture and
employees being reluctant to use new technology (non-technical);
3) Not all the stakeholders are adopting BIM (non-technical);
4) Long learning curve (technical).

5. Discussion
This section provides a general discussion of the results and possible reasons for the above
conflicts/barriers as derived from the interviews and questionnaire survey from three
perspectives: namely industry level, project level and organization level.
At the industry level, the Hong Kong construction industry has developed a fast track culture
since the participants always want to complete their projects as quickly as possible. This
point was consistent with the 5th and 6th barriers identified in section 4.1 and the 2nd issue
identified in section 4.2. In order to achieve early operation so as to reap profits earlier, time
spent on design is highly compressed in Hong Kong industry. This leads to numerous
changes during the construction phase in many projects in Hong Kong. This scenario is
unsuitable for BIM implementation. This compresses the time available for design in the
project process to mostly inadequate levels. As an innovative technology that requires more
efforts and time to implement, BIM will not be welcome within such kind of project processes
and the prevalent fast track culture.

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At the project level, most projects in Hong Kong are delivered by the Design-Bid-Build
procurement route that indeed isolates key participants within different project phases,
limiting the potential benefits from BIM. Early involvement of the key participants ensures
early input from contractors, installers, fabricators and so on (AIA, 2007; Ralman and
Alhassan, 2012), which is an important route to maximizing BIM benefits. However, this
situation is hard to achieve in present project procurement processes in Hong Kong, such as
Design-Bid-Build. This was the 1st barrier identified in section 4.1. As discussed previously,
a delivery process that enables early involvement of key participants can maximize the
benefits of BIM, while conversely, this type of delivery process will run smoother on a BIM
based platform that facilitates information exchange across both project phases and project
sub-teams.
For companies themselves, at the organization level, many clients are not fully aware of
BIMs potential benefits, many architects are not willing to expend extra efforts on creating
BIM model and contractors are apprehensive about the unknown net benefits of setting up
their own BIM divisions, which reflect the 2nd, 3rd and 4th barriers identified in section 4.1
and 1st, 3rd and 4th issue identified at the end of section 4.2. Most interviewees have high
expectations of clients positive attitudes as well as facilitative actions for BIM
implementations. BIM related costs need special upfront funding. It also needs more efforts
to create and use the BIM model. These also require incentive mechanisms or measures
from the clients to motivate the various teams, otherwise most stakeholders will not take the
initiative to adopt BIM. Furthermore, since BIM is able to span the whole project lifecycle,
clients have the greatest potential to benefit from BIM most. Meanwhile, considering the
current major BIM applications such as clash detections, contractors also share the benefits
of BIM implementation. However, except for a few projects in Hong Kong where pain-share
and gain share mechanisms (DTF, 2006) have been incorporated in Target Cost Contracts
(Kumaraswamy and Rahman, 2006), architects share few BIM benefits but incur far more
efforts to create and use BIM models. Thirdly, most contractors in Hong Kong hire BIM
consultants to handle any BIM related work stipulated in the contracts. It is a reasonable
choice when there are just a few projects that require BIM implementation, given the high
cost of setting up permanent in-house BIM divisions to deliver on-off and ad hoc BIM
requirements. Along with the development of BIM in Hong Kong, more and more contractors
have to answer the question of whether it is better to set up in-house BIM divisions, or to hire
a BIM consultant. The relatively high cost of setting up a BIM office is quantifiable, while the
benefits are not so clear to many contractors, hence retarding BIM development at the firm
level. Drawing on the experiences of other countries, such as UK and Singapore, clients,
especially the government clients, should take the lead to integrate BIM in the current project
processes (BIM industry working group, 2011; Cheng, 2011).

6. Conclusions
A set of relevant conflicts/barriers was identified through semi-structured interviews and two
types of conflicts/barriers to BIM implementation were probed in the questionnaire survey,
namely technical issues and non-technical issues. Generally, under the current Hong Kong

238

industry culture, the existing project processes have retarded the implementation of BIM.
BIMs benefits are limited in such project processes, so the clients are less motivated to
encourage or promote, leave alone proactively drive BIM adoption. Other participants are
unlikely to take the initiative to adopt BIM if the client is passive. In order to advance BIM
implementation in Hong Kong, the existing project processes need to be revised in some
ways to provide opportunities for the early involvement of key participants such as
contractors and operators so as to derive many more benefits from BIM to convince
participants (Sing and Dunn, 2008). It is difficult, if not impossible, to immediately replace the
existing project processes with some new processes that are capable of providing a better
environment for BIM, such as IPD (AIA, 2007). What is reasonable is to revise the existing
project processes step by step, gradually approaching more appropriate project environment
for BIM, for example in moving from non-contractual partnering to contractual partnering, e.g
using the New Engineering Contract (NEC) as has been successfully piloted in public work
project in Hong Kong (Tsui, 2012) and is now being introduced to many ongoing and
upcoming projects.
Limitations of the reported research are seen as: 1) 18 interviews and 32 questionnaire
responses may not be enough to reflect a comprehensive scenario of the Hong Kong
industry; and 2) Conflicts/barriers derived from the interviews and questionnaire survey have
not been validated. It will also be useful to develop some suggested measures, even
proposals, to address the finally identified conflicts/barriers. Therefore, ongoing and future
works target more interviews and case studies in the Hong Kong industry, proposal
development based on relevant guides or principles and a focus group meeting to validate
the reported conflicts/barriers, as well as the suggested measures/ proposals to address
these conflicts/barriers.

References
AIA (2007) Integrated project delivery: a guide. AIA California Council. CA, USA.
Azhar, S. (2011) Building Information Modeling: benefits, risks and challenges. Leadership
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Bernstein, P.G., and Pittman, J.H. (2005) Barriers to the Adoption of Building Information
Modeling in the Building Industry. Autodesk Building Solutions Whitepaper, Autodesk Inc.,
CA.
BIM industry working group. (2011). A report for the Government Construction Client
Group, BIM Working Party Strategy Paper, March 2011: 15.
Cheng, T. F. (2011) BCA BIM ROADMAP, buildingSMART Singapore, Sep 2011: 3.
DTF (2006) Project alliancing: practitioners guide. Department of Treasury and Finance.
Melbourne, Australia,11.

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Grilo, A. and Jardim-Goncalves, R. (2011) Challenging electronic procurement in the AEC


sector: A BIM-based integrated perspective. Automation in Construction. 20(2011): 107114.
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industry. Automation in Construction. 19(2010): 988-999.
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Stephen Pryke and Hedley Smyth. John Wiley & Sons, 164-186.
Lu, W. and Li, H. (2011) Building information modeling and changing construction practices.
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management (TAM), Journal of Building Information Modeling, Spring: 30-2.
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models in nD modeling: a study of data interfacing and adoption barriers. ITcon. 10(2005):
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240

Building Information Modelling: An International


survey
Matthew Gray1, Jason Gray, Melissa Teo, Seokho Chi, Fiona Cheung
Building Information Modelling (BIM) appears to be the next evolutionary link in project
delivery within the AEC (Architecture, Engineering and Construction) Industry. There have
been several surveys of implementation at the local level but to date little is known of the
international context. This paper is a preliminary report of a large scale electronic survey of
the implementation of BIM and the impact on AEC project delivery and project stakeholders
in Australia and internationally. National and regional patterns of BIM usage will be
identified. These patterns will include disciplinary users, project lifecycle stages, technology
integrationincluding software compatibilityand organisational issues such as human
resources and interoperability. Also considered is the current status of the inclusion of BIM
within tertiary level curricula and potential for the creation of a new discipline.
Keywords: BIM, AEC Industry, implementation, survey, integration, project delivery

1. Introduction
No one would dispute that we are living in a 3-dimensional (3D) world. If time or money is
included one could even say that our world encompasses four or five dimensions. Extending
this approach, we can think of a world of up to n-dimensions. However, the building industry
has been trapped in the 2D-3D realm for decades (Campbell 2007), first on paper, and more
recently using Computer Aided Design (CAD). Recent advances in technology have allowed
the Architecture, Engineering and Construction (AEC) Industry to keep up with the multidimensional real world. The tool that has allowed them to do this is Building Information
Modelling.
Building Information Modelling (BIM) is now considered the ultimate in project delivery within
the AEC Industry (Azhar et al. 2008), and has the potential to revolutionize the industry
(Gerrard et al. 2010). It is a process involving the generation and management of digital
representations of physical and functional characteristics of a facility. The resulting model
becomes shared knowledge-resources to support decision-making about a facility from the
earliest conceptual stages, through design, construction, operational life and eventual
demolition (National Institute of Building Sciences buildingSMART alliance 2012). Thus it is a
singular central system suitable for the entire project process. It involves the co-ordinated
efforts of all consultants being combined within one highly detailed model with all elements
required for a building project (Azhar et al. 2008). This breakthrough technology is
responsible for the complex collaboration systems now in place within many organisations
who have integrated BIM as their preferred project delivery method.

Queensland University of Technology, Australia; m2.gray@qut.edu.au.

241

Building Information Modelling has been under considerable scrutiny over this last decade.
A number of papers have been published outlining challenges and limitations but it seems
there has been little progress over the years as the same concerns are repeatedly
mentioned. These concerns include interoperability, irrelevant data, integrated design, and
legal issues around intellectual property and data ownership.
One of the most common items of discussion is software interoperability. Where there is a
market, there will be competition. With competition, these competing software vendors
continuously try to out-do each other and to maintain a hold on the market through
individuality, resulting in a large number of different software packages (see etiner 2010 for
examples). Programs like Autodesk Revit and Graphisoft Archicad have created their own
file types, with the idea that if one software developer developed a new tool that had
substantial benefit over the competition, a user couldn't then just open their project file into
another program. Users are then limited to one program, unless they were to spend twice
the time to develop the project in both programs. A lack of comprehensive BIM standards
mean that multiple BIM software products lack the ability to produce interoperable files"
(Smilow 2007), and therein lies the problem. Often professionals who utilise different
software cannot fully collaborate on a BIM project as even though there are methods of
using third party programs to convert to a common file type to be able to move from one to
the other and back again. Typically this process strips most of the information from
components, and may degrade parts of the 3D model so that they may not appear as a
smooth curve anymore, or polygonsbuilding blocks of a 3D modelmay disappear
altogether. While this competitive behaviour by software developers is expected or promoted
within a free-market economy, it can hinder consultants and project teams, and in turn the
uptake of BIM by industry.
Furthermore, many disciplines that require the processes of analyses then face the issue of
BIM models containing too much of the wrong sort of information. Poerschke et al. (2010)
express concerns regarding the sheer volume of irrelevant data that needs to be processed
even when only particular, abstracted information" is needed for modelling tools.
Another point to consider is the limitations of the design phase within BIM. Some significant
drawbacks stand in the way of a fully integrated project. Coates et al. (2010) argues that BIM
concentrates rather too much on providing means of representing the final form of the
design, whereas designers also need a continual stream of abstraction, advice and
information. Most designers still prefer to use pen and paper to sketch out ideas and
many prefer the freedom of physical model building as current BIM tools fail to allow
"personal nuances in the design process" as well as accommodate for the "ambiguities of
early design" (Coates et al. 2010).
However, beyond the software realm itself, BIM has raised many more issues in terms of
legalities (Smilow 2007), with concerns over who has legal ownership of the digital models of
collaborative projects, and whose intellectual property it may be. As BIM leads into a new
method of team collaboration, team dynamics must make developments and new definitions
for individual responsibility and liability (Boos 2010). As the use of BIM increases, these
issues may continue to grow in importance, although some claim that as use has increased,
fears of these issues have become less (Young et al. 2009).

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There have been a number of surveys in recent years that have attempted to quantify just
how much impact BIM is having, and how widely adopted it has become. A US survey
(Dean 2007) found that as many as 70% of industry participants are either using BIM, or
plan on adopting it in the near future. A survey of American architects, engineers and
contractors indicated that 62% of BIM users claimed they would use BIM on at least 30% of
their projects in the following year and 45% of users said they expected to use BIM on at
least 60% of projects (SMART 2008), while a 2009 survey found the US uptake rate at 48%,
compared to 28% in 2007 (Young et al. 2009, 5). In contrast, Gerrard et al. (2010) found
that in 2007 only 25% of Australian firms were using BIM. This is far less than the literature
on BIM seems to intimate. But is BIM used the same way by all these professionals?
The question remains of what practitioners understand BIM to be and to what degree BIM is
utilised. For some time, many considered BIM to merely be a 3D model of the project as an
improvement over 2D drawings, but little more. The industry started to see 4D modelling and
as such, the limits of what was possible grew.
Technology has advanced significantly in the past five years. Take for example the rise of
Facebook, iPhones (and other smart phones), and tablet computing. These technologies
have been disruptive in their adoption, and increased from a zero base to become
ubiquitous. It is conceivable that other technologies, such as BIM, may have undergone
similar rapid transformations. Use of BIM in the USA appears to have risen from 28% to
48% between 2007 and 2009. It is possible that similar rises in use have occurred in
Australia and other countries since 2007.
To gauge how much the use of BIM has changed a research project has been initiated that
has as its first objective an update of the level of adoption of BIM in Australia. Beyond this,
the project also plans a similar worldwide survey, something that appears to be missing from
the literature. The project ultimately aims to gain a thorough understanding of BIM with
regards to its functionality, extents of its strengths and weaknesses, and identify its
opportunities and threats. The intent of the surveys is to develop a coherent picture of the
professional practitioners point of view of the technology, as well as update and benchmark
the level of use of BIM within Australia and on a wider global scale. These data will also be
broken down to identify the areas where BIM is utilised within a project lifecycle by each
discipline. The study is particularly designed to address the impact of BIM with regards to
the first principles of project management, namely time, cost and quality.
At the time of writing, preliminary data only have been collected from the surveys. This
paper therefore reports on the methodology being adopted, the rationale and expected
outcomes from the work, and in particular attempts to present a coherent conceptual
framework for the potential utility of BIM based around a first principles analysis of literature
from the perspective of project time, cost and quality.

1.1 Uses of BIM


The uses of BIM can vary through wide scope of works. Current BIM modelling can function
to an nth dimension of works these progress more as technology evolves and as the BIM
process is refined. A preliminary list of BIM uses may include:

Design Visualisation

243

Design assistance and constructability review

Site Planning and Site utilisation

Scheduling and Sequencing (4D)

Cost Estimating (5D)

Integration of Subcontractors and supplier models

Systems coordination

Layout and fieldwork

Prefabrication

Operations and Maintenance (including as-built records)


(Campbell 2007)

One of the strengths of the approach is the reduction in tedious computation from 2D
drawings for many tasks (Smilow 2007), obviously a step in the right direction for building
project delivery. Such a change is likely to have a significant impact upon the time for any
project.

1.2 Time
One crucial question is what effect has BIM implementation brought on project delivery time?
There is no doubt that this question cannot easily be answered without first hand case study
analyses conducted on BIM. Reddy (2008) examining a number of case studies, and Azhar
et al. (2008) based on 32 major projects that employed BIM both found that that BIM can
influence time management with a 7% reduction in time for project completion. There is a
perception that it helps to deliver projects on time (Suermann and Issa 2009, 2007), but it is
not clear that this is actually the experience of the industry. Some claims of time savings are
from vendors of BIM technology (Carroll 2007), while others derive from extensive surveys of
industry practitioners in the USA (Young et al. 2009). This same study also reports
potentially significant cost savings.

1.3 Cost
Most authors tend to point out the theoretically viable economic benefit of BIM
implementation. Nonetheless, there is very little empirical evidence within current academic
literature of project cost savings. Some authors attempt to attribute figures, such as an
average BIM return on a given investment [of] 9.486% (Azhar, Hein and Sketo 2008) or
reports that a cost differential as small as 2% in increased construction costs results in
savings of more than 10 times that investment in reduce energy consumption, waste
management, and other costs of operation. This doesnt even factor in the reduced waste of
both time and materials during the construction process (Reddy 2008).
Azhar et al (2008) reports that a 2007 study by the Stanford University Centre for Integrated
Facilities Engineering (CIFE), based on 32 major projects that employed BIM, found cost
benefits including a reduction of unbudgeted change by 40%, accuracy of cost estimation

244

brought to within 3%, time taken to produce a cost estimate reduced by 80%, and clash
detections resulting in savings of as much as 10% of the contract value.
Perhaps the most compelling evidence for the cost effectiveness of BIM comes from a 2009
US study (Young et al. 2009), with two thirds of over 1,000 BIM users seeing positive return
on investment (ROI). Most telling from this study, businesses that actually measured their
ROI found substantially greater benefits than those who simply estimated the benefits; 57%
of companies who directly measured the benefit found a ROI of 10 percent or greater,
compared to 36 percent of companies who simply estimated ROI (Young et al. 2009, 4).
If these benefits are repeated across the industry, BIM would appear to be a sound
investment. Two obvious questions are: is this benefit being seen in markets outside of the
USA, and are there similar impacts being seen on project quality.

1.4 Quality
The importance of an integrated design system within BIM is continuously emphasised and
proven through current academic research. Benjaoran and Sdhabhon (2010) detail the BIMs
integrated design tools which identify project-specific safety hazard and provide best
practices to eliminate corresponding hazards and design clashes. Traditionally, safety is
managed separate from the construction (Benjaoran and Sdhabhon 2010). Construction
management is thus fragmented from safety management and tends to disregard safety
constraints within the construction process, ultimately leading to a disjointed planning phase.
The 4D CAD model is an innovative integration tool between construction and design. It
combines two separated information sources a construction scheduled and a 3D CAD
model into one integrated system. (Benjaoran and Sdhabhon 2010). This is achieved
through the development of a holistic and automated systems tool that integrates safety into
design planning and control processes. The system is supported with database that
encapsulated and accumulated safety knowledge including both in explicit and implicit form.
Its unique ability to represent construction activities as virtual 3D objects can effectively
convey space information (Benjaoran and Sdhabhon 2010) and assist designers during the
Schematic Design (SD phase to plan accordingly, continuously re-iterating the planning
schemes.
According to the planners, the 4D CAD visualisation of the workflow allowed subcontractors
to make early decisions to avoid congestion and work space conflicts; thus planning the
workspace effectively between different construction trades. It was further mentioned by
planners that 3D-4D modelling, unlike 2D drawings, does benefit the planning for the work
tasks performed at height, thus helping the contractors to plain into the production adequate
lifting aid devices of heavy materials as well as the lifting of workers themselves in order to
perform their work tasks at a proper working height (Rwamamara et al. 2010). Such issues
highlight the potential of BIM to mitigate planning errors and reform the project delivery
process, thus improving project quality.
Rwamamara et al. (2010) state that construction work activity is information-intensive and
the number of documents increases proportionately with the project size." As project size
increases, so does the complexity. Waly and Thabet (2003) made use of "advancements in
computer graphics to develop 4D tools that enable graphic simulation and visualization of
the construction process."

245

In addition, Popov et al. (2006) states that usually an architecturally design part of a
design is dissociated from an economic one strictly therefore a designer (Architect or
Constructor) having no tools and often even no possibilities (for instance due to time
restrictions) for unbiased pricing of a structure and comparison of variants, simply makes no
price evaluation at all. Therefore it can be stipulated that a designer (from the Schematic
Design (SD) phase) will be able to design within realistic constraints and provide
economically viable solutions. This information can therefore be exported about operations
and resources from estimates and scheduling applications such as Microsoft Project
therefore creating a smooth transition (Popov et al. 2006).
Contrastingly Coates et al. (2010) argues that although significant potential lies within the
BIM implementation and its relation to design, huge developments are required for better
alignment with architectural tools and the design process. For an Architect BIM
concentrates rather too much on providing means of representing the final form of the
design, whereas designers also need a continual stream of abstraction, advice and
information to facilitate in the move from information to the distillation of knowledge (Coates
et al. 2010, 58). Nonetheless Coates et al. also acknowledge the advantages of BIM to the
architectural design process such as the use of the BIM for 3D printing of physical models as
well as the creation of animations and virtual environments. Coates et al. (2010), however
concludes strongly with a detailed list on the areas for developments with regards to
improving the misalignment of BIM with the design process:

Better alignment with the architectural thought processes

Improved intuitive operation, reduce the mental overhead of using the system

A building method of information collection, evaluation, structuring and sharing

Further develop of BIM linking it more effectively to real world capture and feedback
and customer feedback technologies

Providing a greater range of models and abstractions to assist with the creative
process

Further development of BIM using total emersion technologies

A built in learning and error correction system

A better system of tailoring issued information to meet the needs and capabilities of
the recipient

Better integration with other practice business systems, combining, aggregating and
visualizing business data

Better integration with contextual information and GIS systems


(Coates et al. 2010)

It seems clear that BIM has the potential for improving project quality for some disciplines
more than others. One of the things that needs to be assessed is whether practicing
professionals actually see these quality improvements on their projects. This can really only
be assessed by asking them directly.

246

2. Methodology
This research is a part of a larger BIM study conducted by the same research team (QUT
ethics committee approval number 1200000555). It intends to combine data gathered
through this survey with data collected from face-to-face interviews. Extensive literature
analysis has shown both these approaches valid for gathering data on the use of BIM. This
immediate research consists of an electronic survey that is conducted online with invitations
emailed directly to individual within construction firms, initially within Australia and then
internationally, including Korea, China, Indonesia, the UK, Canada, Brazil, India and the
USA. Translation of the survey from English means email invitations will be sent out in
stages as translations are complete.
The literature review and analysis has been integrated into the research methodology to
form a strong basis of knowledge as well as to identify knowledge gaps in the overall
knowledge base of BIMs theoretical knowledge. In addition the qualitative information
acquired from the literature analysis has been influential towards presenting a theoretical
frame working model (see Figure 1) which outlines the overall systems integration of BIMs
functionality within the AEC industry professionals. This has effectively identified the
differences between theoretical BIM notions to real world scenarios and relative BIM
performances.

Figure 1: Conceptual framework of BIM as a tool connecting disciplines with project


outcomes
The discrepancies identified within the literary analysis as well as the lack of current
information on BIM (especially within Australia) are the basis for the nation-wide electronic
survey. There are and have been a number of surveys and studies of BIM. The Royal
Institute of Charted Surveyors (RICS) are currently conducting in-depth BIM research which
includes a survey released on October 2012. RICSs survey presents more emphasis on the
overall systems of BIM with regards to surveying and housing markets. Consequently,

247

neglecting the overall understanding of BIMs influence on the entire AEC industry. This
knowledge gap is effectively covered by this research. Therefore justifying the primary aim
for this research study and establishing the potential contribution that can be made by this
research study.
This survey seeks to obtain information from all AEC related disciplines (architects,
engineers, surveyors, contractors, project managers etc.) on their current use of BIM. This
will allow the study to encompass a broad view point and identify the effects of BIM on the
AEC industry. The structure of survey is designed to collate data from both BIM-Users and
Non-Users. The start of the survey contains general questions put in place to gather
demographical information from the participants. The survey is then broken into two
sections; BIM Users and Non BIM users, with many more questions for BIM users. It
includes a range of qualitative and quantitative questions that allow the consenting, voluntary
participants to provide information on issues such as the duration of BIM use; scope of
works with BIM use; building types that BIM has been utilised for; identification of strengths,
weaknesses and potential improvements. Most questions have emphasis put on project
lifecycle phases, such as: Design; Documentation; Construction Logistics and Operation and
Maintenance, as shown in Figure 2 . This broad range of questions will allow this study to
identify the extent of BIM use within the current AEC industry with relation to project delivery.

Figure 2: Example of question layout of online survey


The Non-BIM users section contains questions which allow this study to draw justified
conclusions on the lack of BIM integration for various reasons behind this as well as their
willingness to adapt for the BIM revolution.
This extensive questionnaire is currently within its Phase 1 of data collection (230
participants engaged). At the completion of data collection this survey will reach more than a
1000 participants world-wide. This method of data collection is intended to provide valuable
information to feed into the literary qualitative analysis. The survey also complimented the
integration of qualitative research with a series of open ended questions to allow the
participant to provide responses which were not restricted. This can be used to gain an indepth understanding on to the quantitative data collected as well as to draw conclusions
between the pre-survey qualitative analysis.
The aim of this approach is not to reiterate existing systems of BIM use, but to gain a more
in-depth understanding on the use of BIM and provide up-to-date information on its overall
systems relationship with the AEC industry. The fundamental reasons for using a combined,
qualitative and quantitative research methodology is due to its ability to base factual up-todate data (quantitative) collected while integrating the concepts and knowledge base
acquired from the qualitative literary analysis. This can further assist in comparing the up-todate qualitative information gathered from the survey in identifying the line between the
theoretical potential of BIM to real world scenarios.

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3. Results
At the time of writing only very preliminary results have been obtained, with a total of just ten
completed surveys, with another 35 people who have clicked through the survey without
completing any responses. Part of the rational of this survey was to canvass all construction
firms and individuals to get an appreciation of total use within the industry, not just the
opinions of those who use BIM. Of the 10 respondents almost half have identified as not
using BIM. This is consistent with the pattern reported by Young et al. (2009) It will be very
interesting to see whether this pattern continues as more responses come in. There has
been a lot of excitement about the potential of BIM, but the reality might not match the
rhetoric (Gerrard et al. 2010), at least in Australia. These responses have come from eight
different professions, including: steel detailer, building designer, tradesman, quantity
surveyor, interior designer, structural engineer, draftsman architect and construction
manager. All have more than ten years experience in their profession.
With this low number of responses, drawing sensible conclusions is difficult. However some
responses are consistent with patterns already seen in the literature and are likely to be
reiterated by further respondents. These are shown below.
-

Software most used is Autodesk Revit, Autodesk Navisworks, and Tekla Structures.

Three of four BIM users find it highly effective compared to traditional methods

Estimated costs of implementing BIM are between 2 and 15% of total project costs

BIM is used most during the documentation stage of the project

The most consistent improvements in Time, Cost and Quality of a project are during
the construction/logistics phase.

During the Design phase, BIM is most effective for visualisation

During the Documentation phase, BIM is most effective for modification and overall
accuracy.

Most BIM training is Company Funded, and focuses primarily on Software

Of the four BIM users one apparently had a bad experience, and commented that
there was a ...Significant addition of time to the project, significant organisational
costs ...with no immediate benefits, Significant cost in hardware and poor
performance of software, and that genrally [sic] the BIM process is done poorly by
most .

This same respondent feels that More integration is required between software
manufacturers - especially Autodesk products, and that Due to the additional
planning stages of BIM projects onsite operations are generally overtaking the BIM
process in construction program.

This user concluded with advice to others: Understand the process is HUGE and
you are not an expert. Other users had slightly difference advice: Never give up. It
makes sense and will be adopted. Be patient and concentrate on data [not on] the
tools. Do not let yourself be cornered into exclusive propietary [sic] solutions. and It
works.

249

Of non-BIM users, one had never heard of it, while two others stated there was no
demand for it.

More extensive results will be presented in due course, including results from international
respondents.
Ideally BIM should be regarded as the entire process of exchanging, re-using and
controlling project information being generated during the lifecycle of a building project and
not just a simple information model (Ham et al. 2008). This notion is illustrated within Figure
1. With plenty of room for improvement, BIM has currently affected the organisational
structuring of many building project processes. The BIM approach provides architects with
the opportunity to regain lost ground in respect to their traditionally status as leaders
(Khemlani 2007), as it enables enhanced control, co-ordination and management of building
projects. Having said that, the BIM process is still at a very young stage and just like
organisations in the retail sector before them, BIM adopters will need to go through a
managed process of change which encompasses not only their internal organisation but also
the way they interface with their external supply-base and clients (Dawood and Iqbal 2010).
Currently the majority of the UK market is still working lower level processes, with the most
significant benefits experienced by moving to higher levels of BIM adoption (Dawood and
Iqbal 2010, 7-14), something reiterated by in the USA (Young et al. 2009).

4. Conclusion
A wide range of institutions and industry bodies are conducting BIM research. This research
project has the ability to stand out from the rest and effectively contribute to the overall body
of knowledge, as it will update the knowledge of BIM use in Australia, last assessed in 2007
(Gerrard et al. 2010), as well as making an international assessment of current industry
practice. While data do exist for the US and UK as recently as 2012, this study extends the
knowledge of use across international boundaries and across disciplinary boundaries. Dta
collection for this project is still within its preliminary stages, but over the early months on
2013 a substantial amount of data will be gathered and analysed.

5. Acknowledgements
The authors acknowledge the substantial assistance provided by our research assistants
Rashan Senanayake and Marko Matkovic, particularly in populating the project bibliography,
compiling the survey and producing the framework diagram. Professor Martin Skitmore
helped to initiate the project and provided timely guidance to the research team. The School
of Civil Engineering and the Built Environment, Queensland University of Technology is
acknowledged for providing seed funds that allowed our RAs to be employed.

6. AppendixSurvey Questions
1. PRELIMINARY
What is your profession? (Please check all that apply)
How many years of experience have you had in your profession?
Where is your current workplace based?
Have you used BIM on any projects you have worked on?

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2. BIM USERS
What is your current definition of BIM?
How long has your organisation been using BIM?
How often have you had external requests to use BIMs?
From who have you had requests for BIM?
On what percentage (%) of projects have you used BIM in the last year?
Within these project types, what is the average project size on which you have implemented
BIM? Nominate all types that apply
Which BIM software have you used?
How effective has BIM proven to be in comparison to utilising more traditional methods
(CAD, Hand drawings etc.)?
What aspect/s of BIM do you use?
What project changes/results have you experienced having used BIM?
What are the estimated costs of implementing BIM on your project (of total project costs)?
What is the extent of BIM's involvement/implementation within the main stages of a project?
In the main stages of a project, how has BIM affected the COST, QUALITY and TIME of:
Within the DESIGN phase how effective has the implementation of BIM proven to be?
Within the DOCUMENTATION phase how effective has the implementation of BIM proven to
be?
Within the CONSTRUCTION/LOGISTICS phase how effective has the implementation of
BIM proven to be?
Within the OPERATION AND MAINTENANCE phase how effective has the implementation
of BIM proven to be?
What is your overall level of satisfaction with your BIM experience?
Who is mostly responsible for co-ordinating the BIM on a project?
Which discipline/project party has intellectual property ownership of the BIM in a project?
With all building projects there are legal concerns which impact the process. With regards to
BIM integration were there any legal concerns?
Were there any organisational issues involved in the BIM process?

251

What is the competancy level of BIM users within your organisation? (Total must add up to
100%)
Do you have any BIM training systems in place?
What is your BIM training focussed on?
How often does your organisation provide training?
To what extent should BIM be integrated into Tertiary Studies Curriculum?
Were there any challenges with the initial take up of BIM?
Any suggested improvements to:
What advice would you pass onto to new BIM users?
Would you recommend implementing BIM on building projects?
To what extent would you recommend the implementation of BIM within the building types
below?
To what extent would you recommend the implementation of BIM within the Project sizes
listed below?
To what extent would you recommend the implementation of BIM within the Project lifecycle
phases listed below?
Any Additional Comments?
03. NON-BIM USERS
What is your current definition of BIM?
What are your reasons for not employing BIM?
Are you considering the implementation of BIM within your organisation?
What aspects of BIM do you plan on utilising?
Have you had any external requests for BIMs and from whom?
Any Additional Comments

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Integrating Building Information Modelling and


Augmented Reality for Construction Projects in Oil
and Gas Industry
Xiangyu Wang1, Martijn Truijens2, Lieyun Ding3, Lei Hou, Ying Wang,
and Matt Lavender
Abstract
Construction site is the place where the process of building or assembling infrastructure
happens. As one of the most complicated type of projects, large scale construction projects
involve large human multitasking activities across different geographical locations and a
wide range of disciplines as well as high frequency exchange of information. The most
commonly recognized way of executing a project includes preparing the construction
drawings, planning out the contract, allocating the workload, scheduling, and administering
the progress. This paper introduces many innovative techniques including Augmented
Reality (AR), barcode reading and indoor way-finding technologies, and integrates them as
alternative means of executing certain activities of construction project. Using a Liquefied
Natural Gas (LNG) scenario, this paper presents: (i) a study of how AR can be effectively
used to improve the way the information is accessed; (ii) sensing and tracking technology
such as barcoding as a technological feasibility of locating a specific component of complex
LNG plants based on computer-based information; and (iii) indoor way-finding technology
integrated with AR, with which the construction worker can easily find out where the exact
component is located in a warehouse or actual construction site.
Keywords: Augmented reality, barcode reading, indoor way-finding, liquefied natural
gas

1. Introduction
In construction, 3D modelling is often seen as an unnecessary complication by practitioners
(Arayici et al., 2011). Very often it suffices to develop a 2D design for single details or
specific building locations, and the same principle is applied on many locations inside the
building. At the same time, a more unrefined model is needed from the total building
perspective. However, when the focus is on a detailed workpiece, then more detailed

1 Australasian Joint Research Centre for BIM, School of Built Environment, Curtin University, Australia;

Xiangyu.Wang@curtin.edu.au
2 Woodside Energy Ltd., Australia;

Martijn.truijens@woodside.com.au

3 Professor Lieyun Ding, Huazhong University of Science and Technology and Northeastern University

255

information context concerning the ambient components will be shown. Defined as the
combination of real and virtual scenes, AR is able to combine the 3D object into the normal
viewing perspective without losing any of the advantages of object movement and individual
movement in real-world environments (Toro et al., 2007, Doil et al., 2003). Therefore, AR
can be used to facilitate the monitoring and control of a construction projects progress, and
to visualize a facility in the context of the real workspace to enable the as built progress
against as planned.
Construction process requires a high level of automation and integration of information and
physical resources (u Babi, 2010). Yet, the effective locating of information developed in
data repository during the actual construction process challenges the designers, planners,
workers, and managers throughout the entire construction lifecycle. Typically, they interact
with a project through various information mediums and models mainly based on 2D planer
isometric drawings or elevations (Gao et al., 2006). Integrating the barcode reading
technology with navigating software packages such as navisworks can ease the information
location process and support various work tasks, i.e., error checking, component finding,
property browsing and so on (Turner et al., 2003; Gressel and Ehrlich, 2002). This facilitates
site work, requiring individuals to both, to manage information and transform physical
resources to a constructed facility.
In order to allow accurate indoor overlays and enable you to create indoor assistance of
way-finding, information or games, we prototyped an indoor way-finding system which
applies the Latitude Longitude Altitude - Markers (LLA Markers) (Jrg, 2002). On mobile
devices such as iPhone and Android, the LLA way-finding works seamlessly. If a valid
marker is found, the location of the smartphone will be adjusted according to the encoded
latitude and longitude coordinates of the marker while the GPS sensors of the smartphone
are ignored. This fixed location will be shown by an AR arrow, which points to the correct
and cost-effective path to the components that are needed.

2. Assisting technologies for on-site construction work


2.1 Augmented reality walk-through
Traditionally, design is realized through the production of 2D shop drawings from a 3D object
model. The traditional method of having an index sheet and a mass of drawings in the site
offices that are thumbed through to look at a specific detail is a time-consuming and tedious
process. This AR Walk-through functionality can facilitate design and constructability review
process (Vainio, 2002). Specifically, this AR functionality can provide a full 3D interactive
solid model of the design, giving the workers a visual understanding of specific details
(Abowd, 1997).
As depicted in Figure 1, the camera can recognize a set of tracking markers and bring up the
3D models accordingly. If in the office, the table-top AR can overlay the 3D model right on
the area where it is located in the paper drawing plan (see Figure 1). The results look like all
the 2D plans are extruded to have 3D effects. Users can split the 3D model in cubes, for
example, to have a closer look at each floor level, to examine each specialty trade, or to

256

examine each selected cross section. If onsite, by picking up the marker and hold it
vertically, users can even walk into and through the module named 14108, which is an
actual LNG plant provided by Woodside Energy Ltd. and feel what it is like on real
construction site (see Figure 2). Users can rotate, zoom, and show problems such as missed
insulation and valves.

Figure 1. Table-top Augmented Reality for design and constructability reviews

Figure 2. Augmented Reality visualization of 4D CAD models in the context of real


environment

In this study, AR has been identified as a solution. This is where AR technology comes into
the picture since from a cognitive psychology standpoint, it has the potential to merge the
informational activity to the direct work activity to make information access more efficient and
therefore completely change the way we think about and use instructions. As an emerging
technology, AR can integrate the information context such as the assembly path and fixation
forms of parts/components into the real workspace.
A summary of the AR for assembly is as follows:

257

1. We are now on the fabrication and assembly site


2. The pipe needs to be installed, but workers do not know what, where and how
3. Workers are trying to look for information in stacks of drawing, which takes time and
there involved many simple mistakes.
4. Using AR-based animation, we can simulate the installation sequence visually in the
real scale and right in the real context as well.
Construction workers can then see the location, angle, orientation, dimension, shape,
geometry, materials, texture, assembly sequence, assembly path, assembly safety
instructions and therefore streamline the assembly knowing what to do.
Models are real-time loaded during the assembly task, so the workers are able to control the
animation process by left-clicking (loading model and playing animation) or right-clicking the
mouse (unloading model and reversing animation).

2.2 4D-based model locating triggered by Barcode


As shown in the Figure 2, the 3D model of an LNG plant is massive in file size and it has to
be more user-friendly if the AR and Virtual Reality (VR) technologies are to be adopted and
widely used in LNG. A tracking and automatic positioning prototype is developed, including
the barcode of each component of the construction. Therefore, all of the specific
components could be searched and located by their unique ID.
With an independent or integrated barcode reader in 4D CAD, the user can scan the
barcode on a piece of pipe and the model of the pipe will be highlighted (see Figure 3 and
4). Alternatively, we type in any tag number or barcode of the associate component. Users
can then view and modify the properties of the pipe in 4D CAD. Relevant manuals,
specifications and certificates associated with this pipe could also be viewed.

Figure 3. Highlighted item in 4D CAD

Figure 4. Component locating in 4D CAD

2.3 AR-based Way-finding


A geographic coordinate system enables every location on Earth to be specified by a set of
numbers. A common method of coordinates is latitude, longitude and altitude (LLA). Latitude
and longitude are the two numbers representing horizontal position and altitude represents
the vertical position. The latitude (abbreviation: Lat., , or phi) of a point on the surface of
Earth is the angle between the equatorial plane and a line that passes through that point. It

258

is normal to the surface of a reference ellipsoid which approximates the shape of the Earth.
Latitude is used together with longitude to specify the precise location of features on the
surface of the Earth. Latitude and longitude together with some specification of height
constitute a geographic coordinate system as defined in the specification of the ISO
19111:2007 standard. The difficulty is the amount of time needed to get accurate latitude
and longitude positions of a particular location. The easiest way is using Google Maps to
overlay indoor blue print and retrieving locations from there. The implemented application
scenario can be described through the following example:
1. A box containing a valve with an Radio Frequency Identification (RFID) tag on has
arrived at warehouse, however, the material coordinator does not know where it is
because the warehouse has thousands of similar-looking boxes
2. The material coordinator is now looking for the valve on the 1st floor in the
warehouse
3. He inputs a valve number into the iPad interface
4. He then scans the reference marker at the entrance of the warehouse (see Figure
5a)
5. There is a green arrow (see Figure 5b) showing on the iPad screen with valve ID and
the estimate distance from where the entrance is to the arriving box
6. He follows the arrow indicator and walk towards the box
As the valve has an attached RFID, the RFID readers in the warehouse can pick up its
accurate location in a real time manner and within a short period of intervals of updating. As
the location of the box is changed, the directional indicator from where he is standing to the
new destination of the box will be updated as well. Because the RFID readers can write back
into tag its current location, way finding becomes much easier than before.

(a)

(b)

Figure 5. Augmented Reality-based way-finding: (a) scan a quick reference marker to


know where he is; (b) a virtual arrow indicator shows where and how far to go

259

On iPhone and Android devices, the LLA Marker detection works seamlessly. If a valid
marker is found, the location of the smartphone will be adjusted according to the encoded
latitude and longitude coordinates of the marker while the GPS sensors of the smartphone
are ignored. This fixed location will stay until a different marker is found or the developer
returns a different trackingXML on an event. Accuracy with LLA Markers is approx. 20cm
(40cm in Altitude).
The difficulty is the amount of time needed to get accurate latitude and longitude positions of
a particular location. The easiest way is using Google Maps to overlay indoor blue print and
retrieving locations from there.
Users can use the interface as shown in Figure 6b to either click on the map or type in
latitude/longitude/altitude to create an LLA Marker. You are able to resize the marker
according to your needs. In general a size of about 2-4 inches (5cm - 10cm) is good for most
use cases. It should be noted that the Altitude value is currently not being considered.

(a)

(b)
Figure 6. (a) Geographic coordinate system of longitude and latitude; (b) Interface of
longitude, latitude, and altitude converter

260

3. Conclusions and future work


This paper presents three innovative technologies in facilitating the execution of construction
project. The combination of these is based on the processing of digital information context,
which provides a more intelligent alternative against the conventional means of handling a
construction project. Contractors still tend to stay within their comfort zone, where they
unreflectively adopt tried and tested technologies rather than evaluating and adopting new
technological solutions such as AR.
Our future work aims to address a serious issue regarding the development and uptake of
AR tools relating to the social phenomenon associated with this, as technologies are
inseparable from the cultural and social settings. Therefore, the development process of
designing AR tools should be cognizant of this relationship by working with (and through)
designers cognitive and behavioral drivers and constraints by explicitly building-in and
embracing the knowledge creation, application, storage and retrieval cycles. Contractors
should therefore be actively encouraged to embrace the AR technologies intentions and
capabilities, or they could find themselves entrenched in their comfort zone of familiarity.
Another issue is the lack of standardization of information and communication technology
(ICT) tools. The issue is that workers use different ICT tools and maybe different datasets.
There needs a unified approach, just like onsite BIM has becoming a standard approach of
the upstream data integration before construction starts, which is envisaged to be our next
endeavor.

Acknowledgement
The research work presented in this paper was initiated by Mr. Martijn Truijens, the Lean
Construction Technology Advisor, Woodside Energy Limited (WEL). Acknowledgement also
goes to Woodside Energy Limited, which initialized and co-funded the research work
presented in this paper and the contributed time of their staff members and experts to the
research and developmental work that has been described and presented in this paper.

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262

Hypothesis Analysis of Building Information


Modelling Penetration in Malaysian Construction
Industry
Wallace Imoudu Enegbuma1 and Kherun Nita Ali2
Abstract
The demand pull for a more effective construction process within architecture, engineering
and construction (AEC) industry continuous to transform design techniques from 2D, 3D and
building information modelling (BIM). Leverage on IT pivotal for construction industry
development has been earmarked by the Malaysian construction industry master plan
(CIMP). BIM uptake by stakeholders in Malaysia construction industry is on a gradual
increase. BIM generates and manage building data during its life cycle via threedimensional, real-time, dynamic building modelling. The model is dependent on collaborative
contribution by project teams input at various stages. However, challenges such as people,
process and technology impede an effective penetration rate in Malaysia. This paper
presents a continuation of the theoretical framework developed, to further investigate the
relationship for BIM penetration from perspectives of people, process and technology to
strategic IT in construction and collaborative construction. The theorised hypotheses argue
that strategic IT planning will invariably aid BIM penetration in the industry. The hypothesis
will undergo structural equation modelling (SEM) to analyse the desired statistical power,
test for close versus exact fit and complexity of the model. The findings will delineate the
variables with predominant impact on BIM penetration and serves as a guide to policy
making on BIM implementation in Malaysia.
Keywords: Building Information Modelling, Information Technology, Penetration,
Malaysia Construction Industry.

1. Introduction
Malaysian construction industry is continually adapting to meet competitive challenges
around the globe market. Thus, the need to imbibe change reaction and modernism from
capacity and knowledge acquired, tapping from similar initiatives by the UK construction
industry stipulated in 1998 Latham report. Hamid and Kamar (2010) recommended the
construction best practice programme (CBPP) model for Malaysia construction industry
involving rethinking IT programs and tools. The UK National Building Specification (NBS)
National BIM 2012 Report expressed a competitive disadvantage syndrome for organisation
lagging behind in BIM adoption (Malleson, 2012). The Malaysian-German Chambers of
Commerce projected a 5.2% expansion in the construction industry as a result of civil

PhD Student; Department of Quantity Surveying; Universiti Teknologi Malaysia; 81310 Skudai Johor
Malaysia; wenegbuma2@live.utm.my.
2
Senior Lecturer; Department of Quantity Surveying; Universiti Teknologi Malaysia; 81310 Skudai
Johor Malaysia; b-kherun@utm.my.

263

engineering works from government stimulus package. The analysis also hinged a
successful growth rate on technological investments in Information Technology (IT), similar
to growth in other sectors spawn by IT. Malaysian construction industry should take a cue for
a more sustainable construction growth performance. Under the 10th Malaysian plan an
estimated growth of 3.7% per annum is expected compared to the nations 6% per annum
GDP (Brandt & Yong, 2011). The revolutionary BIM tool in the Architecture, Engineering,
and Construction (AEC) industry presents great advantages towards the vision on
Construction Industry Development Board (CIDB) master plan and the nations 2020 vision
through increase in key performance indicators (KPIs) and productivity. BIM provides
sustainable assessment tool for life cycle simulations, efficient costing, improvement in
engineering quality and promising a new crop of graduates (Nguyen et al, 2010; CRC, 2007;
Russell et al, 2009; Ibrahim et al, 2004; Kaner et al, 2008; Smith et al, 2005; Sun & Zhou,
2010). However, every new IT tool is without inherent challenges such as inherent
interoperability issues, legal and contractual aspects management BIM pedagogy, BIM
training and high cost of purchasing software (Rezgui & Zarli, 2006; Taylor et al, 2007;
Enegbuma et al, 2010; Tse et al, 2005; Rosenberg, 2006; PSDC, 2010). The first part of the
paper introduces the current scenario in the industry, usefulness and challenges of BIM.
Subsequent sections delineate the model construct and hypothesis extending previous study
by Enegbuma and Ali (2012).

2. Building Information Modelling


Models seek better perfection in creation of forms and buildings (Teran, 2008). Building
Information Modelling is collaboration by different stakeholders at different phases of the lifecycle of a facility to insert, extract, update or modify information in the model to support and
reflect the roles of that stakeholder. The model is a shared digital representation with open
standards for interoperability (Smith & Edgar, 2008; McCuen, 2008). The process generates
and manages building data during its life cycle using three-dimensional, real-time, dynamic
building modelling software to increase productivity in building design and construction which
encompasses building geometry, spatial relationships, geographic information, and
quantities and properties of building components (Lee et al., 2006). BDS (Building Design
Systems) and RUCAPS (Really Universal Computer Aided Production System) formed the
early parts of BIM development which were sold across UK and US, followed by SONATA in
1986 though limited to central work stationing, personalized computer CAD systems such as
ArchiCAD were in developmental stages while, GLIDE (Graphical Language for Interactive
Design), GLIDE-II, and CAEADS (Computer Aided Engineering and Architectural Design
System) (See, 2007). Industry Foundation Classes (IFC) is open and neutral data format for
openBIM borne by the increased pressure to integrate various BIM formats and software to
smoothen the collaborative platform. IFC is registered with the International Standardization
Organization ISO as ISO16739 and specification are developed and maintained by
buildingSMART International (IFC 2002; IFC, 2012). Information Delivery Manuals (IDM) in
ISO 29481-1:2010 is an initiative by BuildingSMART geared towards the capture of real life
construction documentation, with several challenging test carried out to capture real life
construction data which is universally accepted by the BIM support software. Timely update
and quality information dissemination forms a key part and strict guideline from initiation of
the process, development, application for official status with buildingSMART, approval and

264

publishing (Karlshoj, 2011). International Framework for Dictionaries (IFD) was hatched to
control vocabulary of construction terminology inevitably essential to support data exchange
(Bell et al., 2008). Model view definition (MVD) defines a subset of the IFC schema needed
to satisfy one or many exchange requirements of the AEC industry using IDM exchange
requirement in its definition (Liebich et al., 2011).

2.1 People
BIM offers an unsettling precedence to an already defragmented construction industry which
offers less surety. New processes to enhance the construction process, electronic designs
and construction professionals must acknowledge the individual risk associated with such a
new technology. Boundaries of professional responsibility and work product are not clearly
defined creating uncertainty for liability in a BIM model. The trend of older professionals still
lagging behind while younger professionals lack experience in legal matters with a need for
flexible legal form of agreement between construction teams to meet the rapid growth
(Jordani, 2008; Rosenberg, 2006; Salmon, 2009). The emergence of local user Groups in
various localities to discuss BIM concepts, softwares and products including information
sharing on achievements has shown an adaptive response by people for BIM improvements
(Lega, 2008). Owner awareness is lacking in terms of information regarding successes of
BIM by other competitive companies in operation, maintenance, repair and remodeling.
While, other seminar authors proposed a future expansion of current pedagogy in education
of building professionals due to current challenges of constructing sustainable life cycle
buildings (Edgar, 2008; Henderson & Jordan, 2009).

2.2 Process
Construction industry reports such as Simon 1944, Banwell 1964 and British Property
Federation 1983 except the Latham 1994 report, have ignored IT as an integral process in
construction. However, emphasis on technology development alone places less attention to
organisational and human issues. Furthermore, fewer staffs to regularly update BIM models
and inadequate human resource training exist in the construction industry (Aouad et al.,
1999; Rezgui & Zarli, 2006; Damain & Yan, 2008; Liu, 2010). For smooth BIM
implementation within an organisation strict consideration must be given to the long term
goals of the organisation and requirement. Similarly, managing the cost of ownership can be
actualised through BIM, with diligent improvement in BIM practices owners BIM
metamorphoses into a Business Intelligence Model placing it right within corporate mission
and objectives. Similar to the CAD migration from manual drawings, BIM is faced with an
ever challenging bureaucracy by top management due to new risk and liability fears
consummating into a lengthy list of disclaimers during model sharing (Smith, 2007; Jordani,
2008). BIM implementation in the US coast guard on subsequent Charleston Regional
Strategic Plan (RSP) achieved partial success. Full success was eventually marred by
peoples culture and senior leadership resistance to new methodologies; workflow changes;
and technological innovation (Hammond, 2008).

265

2.3 Technology
Owner push for faster product delivery improvement, safer construction environment,
reduced construction cost, lean adoption to eliminate waste and proactive drive by industry
professionals to assimilate new technology such as BIM (Jordani, 2008). Malaysian
construction industry grapples in advanced IT and project management techniques which
forms an essential part to high-tech and capital intensive construction in line with American
Institutes of Architects (AIA) push for advancement and open standards (Ibrahim et al,
2010). McGraw-Hill construction report suggests that for BIM to strive and meet the
challenges of the future, model objects needs to be readily available for smooth information
extraction. Although, product library were created by software companies to represent
generic components they lack enough data to represent the specifications of Building
Product Manufacturers (BPMs). Knowledge of BIM software, inadequate reference material
and component database provide challenges in BIM education in tertiary institutions.
Inherent deficiencies in BIM specification provide inadequate differentiation between
requirement for BIM deliverables and technology to deliver such information. Similarly,
during hyper collaborative platforms such as BIM Storm, participants had to revert to do
some manual communication (Jones & Lien, 2008; East, 2009; Onuma, 2008).

2.4 Strategic IT Planning


As industries transform, from adversarial to cooperative thinking with more emphasis on
business process, the construction industry in transforming into long term strategic planning
to cope with the dynamic nature of economic, technological and social factors. Strategic IT
usage though perceived with a degree of reluctance by the construction industry is currently
transforming, as most business process were never designed but formed by ad hoc means.
Research in labour and cost saving by Adam Smith and Fredrick Taylor provided an initiating
argument towards a re-think of business process (Davenport & Short, 1990; Johansson et
al., 1993; Betts, 1999). Sustainable competitive advantage is maintained though innovative
process improvement and management reliant on IT to provide enabling environment
(Kangas, 1999; Moingeon et al., 1998; Alshawi, 2007). ICT showed a positive and significant
impact on the Malaysian economy from 1982 2004 which established a change from the
norm of investments on agrarian economy to one of manufacturing and industrialisation
(Kappusamy & Shanmugam, 2007). Technology acceptance and usage has been studied
extensively, expanding Fishbein and Ajzen Model of 1975, Fred Davies formulated the
technology acceptance model (TAM). Fishbein and Ajzen Model explained the theory of
reasoned action, which Davies conceptualised the existence of a response predicted by user
motivation and influenced by external stimulus consisting of the system features and
capabilities which triggered the use of a system. Davenport (1993) perceived change to be
structured and measured sets of activities designed for a specific product for various
markets and clientele. In construction, process change from inception, project completion
and FM stages provide benefits to clients in Malaysian construction industry. Business
Process Re-engineering (BPR) drives organization to change their career paths, training,
recruitment and policies (Anthony, 1965; Porte & Millar, 1985; Liang & Cohen, 1994).
Factors highlighted in driving BPR are organisational training, reward, communication,
research and development (Kohar et al., 2012).

266

2.5 Collaborative Construction


Collaboration in construction is defined as an agreement among specialist to share their
abilities in a particular process, to achieve the larger adjectives of the project as a whole, as
defined by a client, a community, or a society at large. Collaboration can further be seen a
working together in a seamless team for common objectives that deliver benefit to all.
Collaboration is more effective when undertaken at the project inception stage (Hobbs, 1996;
be 2004; Anumba & Newnham, 2000). The construction industry presents a rather unique
approach to collaborating which when done ineffectively creates islands of automation
(Kalay, 2001; Yeomans, 2005; Sun & Aouad, 2000). Major challenges to effective
collaboration exist in the construction industry due to independent working and taking
decisions which affects the project team (Anumba et al, 1997, 2001 & 2002; Yeomans,
2005). Issues bordering around undefined boundary between teamwork and collaboration
including, unsolved issues of shared-understanding, alignment of purpose and shared
meaning. Different educational upbringing, terminologies and adversarial contractual
agreement further provides barriers to collaboration (Lang et al., 2002; Yeomans, 2005;
Anumba et al, 2000; Kalay, 2001; Yeomans, 2005).

2.6 BIM Penetration


The communication of innovation over time amongst members of the same social systems
over a period of time is often referred to as a product of complex social interaction. The
social system acts as a determinant of socio-psychological processes within the social
system (Rogers, 2003; Bain et al, 2001; Dackert et al, 2004; Kanter, 1988; West, 1990;
Panuwatwanich et al, 2009). Diffusion describes the acceptance and usage of new
technology while innovation denotes a new product or process technology, or administrative.
This research targets the penetration of BIM within the Malaysian construction industry to
foster prompt attention and improvement of grey areas within the industry. Seminar authors
in innovation diffusion proposed new models of diffusion of new technologies with
complimentary implications for increasing the rate of innovation in the industry. Furthermore,
investigations identified four forces that drive innovation: competitive advantage, process
problems, technological opportunity, and institutional requirements (Rogers & Shoemaker,
1971; Damanpour, 1991; Tatum & Mitropoulos, 2000). Rogers (1983) argued that relative
advantage, compatibility, complexity, observability and triability are determining factors for
technology diffusion. The structural equation modelling path study towards improving
innovation diffusion level within the architectural and engineering design (AED), delineated
definitive pathways and practical strategies harnessed by the construction industry to derive
outcomes from innovation via diagnosing and improving their existing innovation capability
which invariably strengthen their business performance (Panuwatwanich et al, 2009).

267

3. The Research Model


Strategic IT
BIM Penetration

BIM Perception

Collaborative
Construction

Figure 1: Overview of Research Model (Enegbuma and Ali, 2012)


The research model encompasses research gaps on BIM perceptions and the effects on
penetration for construction industries adopting building information modelling. Existing
literature an underlining need for adequate strategic IT planning which drew from IT
acceptance models, business process re-engineering and collaborative construction. The
model shown in figure 1, builds on BIM perception in the construction industry towards
effective BIM penetration incorporating strategic IT implementation (Betts, 1999), technology
acceptance model (Davis, 1985; Chuttur, 2009), business process re-engineering (Anthony,
1965; Porte & Millar, 1985; Liang & Cohen, 1994) and collaborative construction.

BIM Perception

Strategic IT in Construction

H1
Business Process ReH10
H6

H2
Process

H9

engineering

People

H7

Collaborative

H3

H14

BIM Penetration

Construction

H11
H8
Technology

H4
Computer
H5

H12

H13

Integrated
Construction

Figure 2: Research Model and Hypothesis (Enegbuma and Ali, 2012)

3.1 BIM Perception and Strategic IT in Construction


In the research model shown in fig 2, the causative linkage between BIM Perception and
strategic IT in construction as posit in literature will be discussed. IT implementation relies on
the perception from people, process and technological knowhow due to inadequate artificial
intelligence in software and devices (Sommerville & Craig, 2006). Human interaction with a
new system influences the rate of implementation in an organisation. Drivers such as
communication, human activity, system processing, design, specification and tradeoffs are

268

necessary considerations (Fidelman, 2002; AELR, 1995; Sommerville and Craig, 2006). The
phenomenon known as people managers translates the importance of people in
organisations adapting to new IT technologies. Hence, understanding ways to tap into
individual creative energy, intelligence, initiative, managing change, alley fears to change is
critical to implementation success (Towers, 1996, Cooper &Markus, 1995; Kennedy, 1994;
Arendt et al, 1995; Alshawi, 2007). Although fears arise from the perceived reduction in
professional fees with BIM, cost savings from energy savings, maintenance, informed
decisions, purchasing, clash detection, reduced request for information adds value to the
project for clients, hence the onus to demonstrate the level of value added to clients (Hamil,
2012). Alshawi (2007) argued that technological push generated more awareness on the
need for improvement in business process and re-engineering. Also, incompatibility in IT
applications creates island of automation challenging the normal business processes and
computer integrated construction. Hence, it is hypothesized that:

H1: There is a positive relationship between People and Business Process Reengineering
H2: There is a positive relationship between Process and Business Process Reengineering
H3: There is a positive relationship between Technology and Business Process Reengineering
H4: There is a positive relationship between Process and Computer Integrated
Construction
H5: There is a positive relationship between Technology and Computer Integrated
Construction

3.2 BIM Perception and Collaborative Construction


Collaboration is a unified platform that enables interaction between various individuals or
groups of individuals in the project team. This triggers a creative process and enables
sharing of ideas within openness, honesty, trust and mutual respect towards achieving a
common goal. Certain philosophies argues that irrespective of the manner of
communication, either synchronised or asynchronised collaboration, the basic premise lies in
the communication between one or more individuals. This view point was further stressed
when collaboration is referred to as an activity. Emphasis is laid on technology as an enabler
providing an atmosphere for various technologies to interact (Burtler Group, 2003; Wilkinson,
2005). BIM utilisation stimulated a downward trend in variation orders geared towards a zero
variation order for projects. Early collaboration provide the opportunity for practical solutions
for constructability complexities, owner awareness and government push also further
increases BIM usage (Cannistraro, 2010) thus leading lead to hypothesis:

H6: There is a positive relationship between People and Collaborative Construction


H7: There is a positive relationship between Process and Collaborative Construction
H8: There is a positive relationship between Technology and Collaborative Construction

269

3.3 Strategic IT in Construction, Collaborative Construction and BIM


Penetration
Integrating IT systems with business processes reshapes and facilitates the organisational
culture, performed task, coordinated activities (Davenport and Short, 1990; Hinterhuber,
1995; Hammer, 1990; Willcocks & Smith, 1994; Tapscott & Caston, 1993; Klenke, 1994;
Alter, 1993; Davenport, 1993; Alshawi, 2007). However, to achieve a greater business reengineering prompt attention is given to modelling new business processes around the
implemented IT systems (Koch et al., 1999; Alshawi, 2007). Yeomans et al., (2006)
expressed the need for certain project teams to provide extra effort towards achieving
collaboration, however, in Malaysia current literature is void of which project team members
should with the advent of BIM engage more for a push towards effective collaboration.
Yeomans et al. (2006) also argues that there is no resulting disadvantage from adopting
collaboration practices in the industry, dependent on the commitment of the project team,
merger of collaborative ideals with procurement systems and developing a means to capture
and report the benefits. Sommerville and Craig (2006) argued that the increase usage of IT
in business processes resulted from the increased awareness of the benefits of open
collaborative efforts by project teams in the construction industry. The push for effective
collaborative will inadvertently provide higher productivity and returns on investments for
clients increased demands which led to further hypothesis of:

H9: There is a positive relationship between Business Process Re-engineering and BIM
Penetration
H10: There is a positive relationship between Business Process Re-engineering and
Collaborative Construction
H11: There is a positive relationship between Business Process Re-engineering and
Computer Integrated Construction
H12: There is a positive relationship between Computer Integrated Construction and
Collaborative Construction
H13: There is a positive relationship between Computer Integrated Construction and BIM
Penetration
H14: There is a positive relationship between Collaborative Construction and BIM
Penetration

4. Conclusion
As Malaysia moves towards its target vision of high income economy, BIM provides
adequate IT leverage in the construction sector. This paper has presented an argument and
hypothetical background of BIM penetration model formation. The model hypothesises
variables of people, process, technology, strategic IT planning and collaborative construction
to further enhance BIM acceptance in Malaysia construction industry. Overcoming the
challenge of increasing BIM adoption and usage promises a more sustainable construction
process in all ramifications. The hypothesis will undergo Structural Equation Modelling
(SEM) to analyse the desired statistical power, test for close versus exact fit and complexity
of the model after data collection. The structural equation modelling analyses the
relationships to pin point the perception factors with higher effect on collaborative working,
denoting grey area for investment and research focus in the industry.

270

Acknowledgements
The authors will like to appreciate the International Doctorial Fellowship (IDF) initiated by
Universiti Teknologi Malaysia and supported by the Ministry of Higher Education (MOHE).

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276

How Important is Inter-organizational Collaboration


to the Success of Construction Project BIM
Implementation
Wei Lu1, Dan Zhang2, Steve Rowlinson3
Abstract
The construction industry is always criticized for lack of collaboration and ineffective
communication. Building Information Modelling (BIM) is introduced to the industry as a
concept that involves a series of changes on organizational processes, tools, structures
and policies, as well as the interaction patterns among individuals and professional
groups. Proponents claim that BIM will improve the collaboration performance of project
teams. However, the performance of BIM in practice fails to achieve more advantages
than traditional projects on efficiency and effectiveness. On the contrary a collaborative
working environment could be the antecedent of successful BIM implementation. In this
paper, the impacts of BIM implementation on the construction process are underlined
and a set of key factors of inter-organizational collaboration are explored. Furthermore,
the significance of inter-organizational collaboration across project teams toward
successful BIM implementation in the construction industry is also discussed, pointing to
future study on collaboration theory from a social-technical perspective to evaluate the
BIM performance.
Keywords: Inter-organizational relationship, collaboration, Building Information
Modelling (BIM), construction.

1. Introduction
Professionals intend to optimize their functions with little attention to others interests, and
they are barely interested in understanding the whole process in construction (Love et al.,
1998). Dainty et al. (2006) confirmed that this focus on their own interests is the reason for
fragmentation i.e. lack of integration from design to project delivery. Thus, participants focus
more on self-protection and economic benefit maximization rather than general project
performance. Furthermore, increasing fragmentation facilitates the increasing complexity of
projects, and brings more difficulties in project management (Kadefors, 1995). The
fragmentation within the project organization is the main barrier to project performance.
Construction projects are unique due to temporary collaboration amongst parties.

PhD Candidate; Department of Real Estate and Construction; The University of Hong Kong;
weilu@hku.hk.
2
PhD Candidate; Department of Real Estate and Construction; The University of Hong Kong;
doradanzhang@gmail.com.
3
Professor; Department of Real Estate and Construction; The University of Hong Kong; smr@hku.hk.

277

Professionals own influence on the decision-making, and the goal of the organization is
mixed with their own expectations. From Partnering, Alliancing to IPD, multi-delivery
methods are adopted through the process in order to optimize such inter-organizational
collaboration (Earl 1996). Nevertheless, both academics and practitioners fail to attain
satisfactory inter-organizational collaboration, no matter how they tackle the improvement
such as changing organizational structure, adjusting contractual items and adopting new
technologies.
Wide use of BIM technology in construction industry has not promoted collaborative relationships
within organization thus far. BIM becomes one way to cope with cooperation, integration
and coordination challenges in the construction industry, however, current use of BIM
technology has not promoted collaborative relationships within organization. Collaboration
under BIM creates great opportunities, but also creates new issues that need to be
addressed and solved. It is ineffective for BIM adoption if each professional still performs
under the conventional contract framework. That ignores the inter-relationship between BIM
and Integrated Project Delivery (Ashcraft, 2009). It is necessary to consider collaboration
before implementing BIM.

2. Building Information Modelling


BIM is regarded as a critical factor in fulfilling integrated project delivery. This inevitably
leads to the restructuring of project organizations and communication processes. Current
project management also needs to be changed in order to facilitate BIM implementation.
Although the development of Information and Communication Technology (ICT) has
improved significantly in the past decades in construction industry, most of the outstanding
issues mentioned earlier are still unsolved since Bowley (1966) identified the problems and
issues related to the industry (i.e. lack of integration of design and production). Courtney and
Winch (2002) confirmed that over 80% of those factors underlying re-engineering issues
could also be found in other countries with equal significance.
BIM as a new concept involves a series of changes and adjustments related to
organizational process, tools, structures and policies. Further, it changes the style of
interactions among individuals and their organizations. The advent of BIM technology takes
one significant step forward towards cooperation and communication logic. Different parties
may achieve higher level of collaboration through effective communication in addressing
problems, deriving solutions and building trust (Hossain, 2004). Collaboration demonstrates
communication and cooperation across parties in the organization (Baker, 1992).
Nevertheless, BIM implementation on construction sites has gradually forced project teams
into partially unnatural and ineffective administrative work routines due to the inflexibility and
fixed nature of the BIM system and process (Wikforss et al., 2007). In that way, the potential
of BIM for facilitating collaboration at both inter-personal and inter-organizational levels is
constrained under such inappropriate implementation strategies.
By working collaboratively, the project organization could achieve process integration,
knowledge sharing and relationship maintenance. Professionalism and geographic dispersal
are sources of collaboration difficulties. One of the main functions of BIM is facilitating

278

professions to achieve integrative and collaborative working. BIM can provide such a
condition and platform to optimize the inter-organizational interaction. Nevertheless, the
quality of collaboration still needs to be improved. How to promote multi-disciplinary
collaboration and how to integrate BIM advantages with better collaboration are the key
questions to be addressed. Obviously, it will not be successful without considering social
and psychological issues which impact inter-organizational collaboration. They also impact
the effectiveness of BIM implementation in a project. Gerber et al. (2012) demonstrated BIM
collaboration benefits as follows: 1) Enabling concurrent collaborationcompared to
sequential workflows of information generation and analysis; 2) Integrating separate tasks
a shared 3D model can incorporate estimating, scheduling, spatial coordination tasks more
effectively; 3) Improving separate tasksdirect use of a 3D model facilitates tasks such as
estimating, scheduling, spatial coordination. (pp. 22)
Understanding inter-organizational collaboration is necessary before BIM implementation.
Currently, the majority of construction professionals lack sufficient training and BIM
knowledge. Few people recognise the necessity of encouraging project teams to collaborate
effectively. BIM should break down cultural and organizational boundaries by promoting
communication and collaboration. Technophobic personnel are one of the challenges to the
successful incorporation of value contribution in the BIM process. Thus the satisfaction of
current BIM technology is still low and there is a gap between interoperability and
functionality.
Through visualization, BIM may analyse and detect clashes that allow professionals identify
the potential risk. At the time that people strongly believe that BIM could provide high
efficiency and collaboration with advanced technology platform, but professionals still focus
on their own organizations and work fragmentally in construction process. Each member
only fulfils minimum responsibilities according to the conventional contract signed before.
This constrains the potential utilities of BIM and BIM is adopted as a tool only that creates
little knowledge contribution and added value (Dossick and Neff, 2010). BIM provides
increasing opportunities for project participants to integrate essential project elements, but it
cannot fill the social gaps within inter-organizational relationships. This means that the BIM
adoption fails to guarantee a better collaborative interaction in the project. We claim that
transformations from traditional projects to BIM enabled projects change the way of
providing services and the process of delivering projects. Some changes may do harm to
process of collaboration. Inappropriate adjustments and implementation strategies may even
cause protectionism and conservatism. Thus inappropriate BIM adoption can decrease the
collaboration level and lose the advantages of communication efficiency. Previous studies
fail to point out the importance of collaboration across professionals. There is no
collaboration issue to be considered before adopting BIM. In other words, BIM could detect
the clash by analysing building information, but it could not solve the inter-organizational
conflicts. Therefore, we dont consider BIM only as a tool that digitally represents buildings
with three dimensions and file all essential databases on a collaborative platform. It is not a
tool only but also a set of policies, processes and technologies providing a methodology to
collaborate all the essential construction outputs through buildings life cycle (Succar, 2009).

279

The adoption of BIM technology as a goal is to accomplish the critical project objectives such
as completion on time and on budget. BIM implementation is expected to close the
communication gap and increase collaboration. However, the nature change of construction
industry could not be brought along by new technology only (Rowlinson et al., 2010). It is
necessary to provide a clear pattern of collaboration in construction and analyse the
characteristics of inter-organizational collaboration before we move to BIM enabled projects.
We need to find a way to embed this advanced technology in order to better fulfil the vision
of collaborative working. Implementing the technology is not a challenge, but how to
appropriately adopt the technology is the most difficult issue.

3. Collaboration
Collaboration as a word, which the first instance dates from 1860, means working together
with others who share common goals and find solutions in order to satisfy all concerned
(Kvan, 2000). Mattessich and Monsey (1992) provided a working definition of collaboration
as: Collaboration is a mutually beneficial and well-defined relationship entered into by two or
more organizations to achieve common goals. The relationship includes: a commitment to:
mutual relationships and goals; a jointly developed structure and shared responsibility;
mutual authority and accountability for success; and sharing of resources and rewards. (pp.
39)
Patel et al. (2012) also defined collaboration as involving two or more people working and
interacting within a single task or series of processes. These people worked together
towards a common goal. These definitions identify the characteristics of collaboration. The
essence of collaboration is common goal, shared responsibility and joint completion at a
project level. These characteristics are also the key factors of project success in construction
projects. Son and Rojas (2011) explained the evolution of collaboration within interorganizational networks in the large complex project based team. Xue et al. (2010) claimed
collaborative working was recognized increasingly as one of the most important critical
success factors in the construction process, and collaborative working became a new
management paradigm in the construction community. de Saram and Ahmed (2001)
confirmed that collaboration and communication is the key to achieve project objectives. To
better understand and analyse it, we examine collaboration in more specific conditions and
at different levels.

4. Multi-level Collaboration
Kvan (2000) reported that cooperation was used interchangeably with collaboration as seen
in the literature. Overuse of collaboration on any type of inter-organizational or personal
relationship impedes the practical evolution (Gajda, 2004). Czajkowski (2007) argued that
although the term collaboration was interchanged with cooperation and coordination, they
represented three different levels of formality and structure in the relationship processes in
inter-organizational relationships. In practice, few scholars emphasize the differences among
cooperation, coordination, and collaboration. Cooperation exists with informal relationships
and without common objectives, structure or planning effort. Each organization retains their
authority and shares information when it is necessary. There is virtually no risk and the

280

resources are as separated as rewards; Coordination is more formal than cooperation on


relationship issues. Each organization has compatible missions yet still maintains their own
authority, but there is an established communication channel. Resources and rewards are
both mutually acknowledged. Risks are increased to all participants; collaboration presents a
long-term strategic relationship. Collaboration aggregates different organizations into a
united structure with one common goal. In this relationship, authority is determined by the
organizational structure. To maintain this relationship, it requires effective communication
and comprehensive working schedule. Therefore, each organization shares their outcomes
and risks although they contribute their own resources and reputation (Mattessich and
Monsey, 1992).
Marchington and Vincent (2004) examined inter-organizational relations at three levels:
institutional, organizational and interpersonal levels. This distinction allows us to review the
factors that encourage collaboration separately.

Fig.1 Categorization of Formality of Working Relationship


Phua and Rowlinson (2004a) confirmed that cooperation was vital to construction project
success, and they claimed that intra-organizational cooperation was more important than
inter-organizational cooperation. Because Intra-organization was more manageable than
inter-organization, and individual firm could better control over the work behaviours of their
employees in intra-organizational condition. In this paper, we discuss collaboration at project
level. Based on the formality of working relationships, we categorize interactions into
cooperation, coordination and collaboration (Fig.1). Cooperation allows individuals to share
information supporting others for organizational objectives. Coordination is the activities in
which different entities share a goal in order to achieve mutual benefit. Collaboration is that
different professions give up some degree of independence to realize a shared goal. So the
interactions among three categories could be analysed.

281

Cooperation at the individual level is fundamental to the collaboration. Individual cooperation


provides further opportunities of coordination among different parties. Different parties still
conserve their independences in the context of coordination. Fragmentations still exist at this
level. A collaborative working relationship evolves from individual cooperation to team
coordination and then inter-organizational collaboration. Base on the good interorganizational relationships, project integration is achievable through the construction
process.

5. Key Factors of Inter-organizational Collaboration


Gajda (2004), adapting figures from Bailey and Koney (2000), argued that collaboration was
a journey, not a destination cross the continuum of integration. Anvuur (2008) analysed four
types of cooperative behaviour and its impact on the organization. To achieve cooperative
behaviour, he also claimed that four essential factors for optimal working relationships in
construction, such as common goals, mutual respect, group interaction and support of the
authorities and egalitarian norms were needed. Anvuur (2008) also found that contract types
decided the nature of cooperation among organizations, some contract incentives may
motivate organizations to cooperate, and some may work against the objectives of the
project organizations. Mattessich and Monsey (1992) identified 19 factors that influence the
success of collaboration based on six categories. Environment, process, structure,
communication, purpose and resources are further developed in their study. Phua and
Rowlinson (2003) also claimed that culture as a key factor that impacts inter-organizational
collaboration. Cultural differences could moderate the contextual variables such as
organizational structure. Cultural differentiation leads to inter-organizational differentiation.
Better understanding of the influence of culture of organizational cooperation could improve
the management of construction projects. Previous researchers identified collaboration
factors from a general level rather than any specific industry. Some researchers analyse
collaboration factors more specifically in the context of construction projects. Succar (2009)
categorized leadership, infrastructure, human resources and products/services into process
fields. In his framework, he used these to distinguish among these sub-divisions in order to
define BIM stages in detail. Leadership is combined with management decisions,
organizational processes and communication activities. Management decisions represent
vision and culture; organizational processes represent management; and communication
activities include internal and external communications.

6. BIM Collaboration Framework


Selected practitioners were invited to participate this research. Emails were sent out to the
potential contacts. Eight industry practitioners with more than three years of BIM experience
replied and agreed to meet. Face to face interviews were adopted to investigate the impact
of BIM implementation and the potential for collaboration improvement. The interviewees
were invited from three different BIM enabled construction projects. Based on the literature
review, further discussion related to BIM collaboration was developed. A conceptual
framework was structured accordingly (Fig. 2). Key factors that facilitate better BIM
collaboration are identified.

282

Through the interviews, most practitioners agreed that promoting collaborative effectiveness
of BIM is a systematic issue. It is multi-relational and a dynamic evolution through people,
process and technology. Managing a successful BIM enabled project requires an integrated
and balanced approach to technology, process, and people.
First, technology as the antecedent is the driver for the whole construction industry to
embrace BIM implementation. When the current technology can satisfy practitioners to adopt
practically, people may take it on board and enhance it. Technology innovation, as an
enabler to improve project performance, provides dramatic improvements in documentation,
communication and visualization. Thus management of new technology is crucial to
implementation. For better collaboration, current BIM technology could do better such as
open standard, interoperability and communication. An open standard may integrate
different work done by different professionals. Building information and data is core value
and product of project service. Exchange of Building information and data among project
participants is crucial to the performance. A standardized exchange protocol is the key to
communication through new technology. Communications enhance mutual understanding
and information exchange improves communication efficiency. Standard and communication
both decide the performance and applicability of BIM technology. In order to take full
advantage of BIM, project organizations need to optimize the level of interoperability. Lack of
interoperability challenges the acceptance of technology and project progress. Therefore,
analyses of standards, communication and interoperability are of major importance in
promoting BIM application.
Second, a person is even more important than the technology itself considering successful
BIM implementation. Implementing BIM requires changes to organizational culture and
process. Individuals who are key players of new technology and execution strategy need
supporting management skills. Professional knowledge and personal commitment are critical
to successful project delivery. A certain degree of professional knowledge and training are
essential at the beginning of BIM implementation. No matter how perfect a technology is, it is
only a concept until people decide to adopt it. Incentive strategy could further motivate
people to experience new technology more widely. Certain incentives can stimulate
individual commitment to project team. The more people involve with new technology, more
feedbacks and innovative improvements are provided. Since the technological
communication became available, people also need to communicate among project teams.
A functional communication path can strengthen the collaboration through sharing
knowledge and exchanging ideas. They could strengthen the team relationships through
communication and increase the efficiency of BIM implementation. Most of our interviewees
claim that good leadership is also important to the success of BIM implementation.
Leadership could mean a good BIM manager in a project, or it could be a committed project
organization that encourages collaboration.
At last, professionals with efficient resources and state-of-art technology are able to provide
services and deliver qualified products. However, process change can lead to negative
impacts on the final product. Understanding construction process and optimizing process
can reap advantages through productivity and efficiency. When technology is applicable and
people master the skills, process needs to be revised according to new circumstances. To

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implement a more collaborative BIM, construction project needs a new contract strategy that
better fulfils the demands of BIM implementation. We found most of the BIM enabled
construction projects are still under the traditional procurement system. This impedes the
potential functions of BIM. Besides contract issues, organization structure is another barrier
to BIM collaboration. Routinized organization structure may also eliminate BIMs potentials.
The rigid structure also constrains individuals authority. Individuals do not expect to take
more responsibility and the organization structure decreases the flexibility of project
management. Interviewees also suggest optimizing resources to facilitate team collaboration
is crucial to BIM success. Each professional has their own resources and advantages, but
sharing resources is difficult. In a word, successful BIM implementation relies on the
revolutionary change from all the aspects. Industrial participants should have a clear

framework before they could implement collaborative BIM successfully.

Fig.2 Key Factors of BIM Collaboration

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7. Discussion and Conclusion


Multi-disciplinary professionals work together so that projects can be executed accurately.
Recognizing that collaborative efforts facilitate achievement of organization objectives,
researchers and practitioners attempt to set up strategies that foster a collaborative culture
among players. BIM implementation breaks the traditional relationships among clients,
architects, engineers and contractors. The roles of participants need to be more flexible,
interactive and collaborative in the construction process. Collaboration is capable of
empowering individuals and connecting fragmented systems in order to address social
concerns (Gajda, 2004). The designers traditionally retain their authority and judge the
contractors performance with their initiatives of project success, and contractors always take
compliance with the minimum requirement of contract standards. Even though contractors
may have superior knowledge of alternative solutions that may benefit the project, they still
choose to process the orders conventionally. These adversarial relationships impede
knowledge sharing which offers the greatest opportunity to improve project performance.
Collaboration is the key to capture that information (Allen et al., 2005). Collaboration in the
construction industry is different from other sectors. First, the project organization is a form
of multi-disciplinary representatives who have different objectives, goals and cultures.
Second, duties and reliabilities are all project oriented in a short term. Partnerships may
conflict with each organizations long-term objective. Last, organizations are dynamic. Some
representatives may leave before project completion, but impacts of their previous decisions
and actions may affect the final outcomes of the project (Kalay, 2001). Greenwood (2012)
tested different degrees of collaborative working that is relative to project performance, and
he identified that higher level of collaborative working is more likely to produce higher level of
project performance and vice versa. Other researchers also opine that working relationships
have positive impacts on project performance in terms of construction time, cost and quality
(Larson, 1995, Phua & Rowlinson, 2004).
Gajda (2004) identified collaboration as the most highly developed level of integration.
Project team collaboration and inter-professional support are essential to BIM
implementation. Interactions within the system and the interactions among project
participants are the most important aspects to be encountered (Kvan, 2000). Working
collaboratively, professionals can share their knowledge and pool scarce resources in order
to achieve an objective that would not otherwise be possible to obtain as professionals
working separately (Gajda, 2004). Kvan (2000) concluded that collaborative environment
could not be created simply with hardware and software tools, and over-reliance on tools
was less cost effective use of resources. AIA (2009) claimed that collaboration increased the
efficiency, and the adoption of BIM could enhance collaboration. However, it could not
guarantee that such collaboration is best for project thinking and primary principles. Hansen
and Nohria (2004) identified five advantages of good collaboration including increased profit
by expertise sharing, cost reduction by practice sharing, improved decision making by
knowledge sharing, innovation by ideas sharing and improved achievability of goals. Thus,
collaboration issue is highly important to the success of BIM implementation and to the
project performance finally.

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Based on the analysis, this research clarifies the importance of collaboration and identifies
the relationship between collaboration and BIM implementation success. In other words,
collaboration is the key factor in measuring the success of BIM implementation in a project.
Therefore, BIM as the vehicle of project delivery aims to integrate project activities rather
than be a simple communication and simulation technology. More importantly, few
researchers to date have explored the factors that may encourage participants to adopt
more collaborative ways of working. Efficient and effective communications are essential to
the successful completion of construction projects. However, this finding needs to be
qualified by considering the inter-relationships among people, process and technology.
Although technology could create a communication environment for virtual users, it may also
hinder the sense of cohesion and satisfaction of interaction, and the interactive links are
associated with the effectiveness of information exchange.
Projects as temporary social systems in different contingencies and multiple contexts require
further demonstrations. Analysing the recursive interplays among actors, organizational
structures and technologies are important. First, BIM implementation changes the traditional
working process. Second, the organizational contexts constrain the BIM development. So
BIM can improve the inter-organizational collaboration, but this advantage can also be
constrained by the existing organization context.
Despite the massive investment in BIM, it is impossible to divorce interpersonal and interorganizational collaboration from the construction process, which is rooted in project
success. BIM tends to break the cultural and organizational boundaries by integrating
communication and collaborating team participants. Collaboration is able to achieve greater
efficiency, but projects need fundamental change to fit into BIM thinking. In this paper, we
argue that the study of inter-organizational relationships is important to project success. But
it is difficult to generalize a collaboration theory. It is necessary to consider the different
levels of collaboration. This research also identifies the inter-relationship between BIM
performance and collaboration. Unlike the studies that have been conducted in BIM, it is
clear from our research that technology is not the critical issue to successful implementation
and project collaboration. It depends on the factors related to people, process and
technology as a whole. Further, how to link the project success with innovative technology is
demonstrated. In summary, we have argued that inter-organizational collaboration needs to
be analysed before considering BIM implementation. Although it is difficult to develop a
collaboration model, significant factors could be identified such as contractual issues and
organizational structures etc. This study reviews past research on collaboration within social
and behavioural contexts. Further exploring the impacts of BIM implementation in a
construction project, we identify the importance of collaboration. With the demonstrated
relationships between BIM and collaboration, understanding the fundamental issues of
collaboration is beneficial to the decision makers in adopting appropriate BIM strategies in
future. The study of inter-organizational collaboration could facilitate people reviewing the
initiatives of BIM implementation and strategy to further achieve integration.

286

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288

Whole moves Technology for Historic Building


Preservation and the Decision Making Process
Tz-Ling Huang Chun-Ta Tzeng
Abstract
The main purpose of this study is to discuss the techniques and decision-making processes
of integral moving of historic buildings in Taiwan. The study mainly analyzes the details of
integral moving of mixed-structure and brick-structure historic buildings; furthermore, to
provide an alternative for those which either could not preserved at the original locations or
to be demolished with a much applicable techniques to preserve them.
The major research methods include literature review, case studies, and field researches.
Selected cases are those which were successfully moved. There were mixed-structure
buildings such as Taipei Workshop, Kaohsiung Railway Station (Vision of Kaohsiung), and
the brick-structure building such as the old hall of the Department of Pharmacy, National
Taiwan University.
The study discovers that decision-making processes of historic building preservation project
in Taiwan are usually influenced and buildings could not be preserved at the original
locations due to urban renewal projects. Also, after moving, these buildings serve as
exhibition halls. Once the structure of historic building itself is assessed, and it is strong
enough to withstand the vibration during the moving, then the technique of CUT-OFF is
applicable; on the other hand, if the building structure is weak, then the techniques of UPDOWN or OPEN-CUT are applied and adjustable due to the conditions on site.
Keywords: Whole moves, Techniques of Up-Down, Open-Cut, and Cut-Off.

1. Foreword
While facing rapid urban development and rising of land price, conflicts between old
buildings and new constructions have been emerged. Most historic buildings are under
demolition due to the damage and inappropriateness of location and space. For those
buildings which are with economical or cultural value, Re-locating these old buildings serves
as an alternative solution for heritage preservation, which keeps these historic buildings
preserved or reused, instead of being abandoned at the original location, or being
demolished. The article is going to generalize and analyze the techniques and strategies of
relocating historic buildings with different structures. Through focusing on the concept of
integral relocating technology and the ways of construction, a clear information of the
process regarding decision-making and key points regarding management will be
obtained. This study would like to confirm the completeness and safety of building
relocating by applying appropriate techniques; moreover, to create a revolution regarding the

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co-existence balance between the contemporary urban development and the historic
buildings.

2.

The Definition of Integral Re-locating Technology

The definition of integral re-locating technology is to move the building from where it locates
originally to a new location. There are various situations which require buildings to be moved
away from the original location. The most essential point of this technology is to remain the
entirety and functionality of buildings. There is a high demand of professional techniques in
building re-locating, and also it is risky. The main body of the building is not allowed to be
damaged and the structure needs to be reinforced and firmed within a certain range. There
are two ways of building re-locating based on main body re-locating, one is integral relocating of main structure and the other is integral demolition and re-locating.

3. Case Study
Generally, there are three ways of re-locating historic buildings based on different
techniques and ways of preservation in Taiwan:
(1)Integral Demolition and Re-locating: Construction materials are numbered and
reorganized at the new location; however, this will not be discussed in this study..
(2)Integral Re-locating of Main Body: The whole building is moved to the new location for
permanent positioning and reuse.
(3)Integral Re-locating of Main Body: The building is temporary moved to where is closed to
the original location. After the renovation of construction has been done, the building will
be moved back to the original site.
The study mainly focuses on discussing integral re-locating of main body; merely, there is
still a brief introduction of integral demolition and re-locating.

3.1 Integral Re-locating of Main Body: The whole building is moved to the new
location for permanent positioning and reuse. (The old hall of the Department
of Pharmacy of National Taiwan University)
National Taiwan Hospital was planning to build an 11-story building and 3-story underground
as their new conference center and medical research building at where the old pharmacy
building located. Due to the lack of space in the eastern hospital area, and also the plots of
land are scattered, it is not possible to have another two complete and big enough clearings
for the building permit.Therefore, the hospital decided to tear down the pharmacology and
pharmacy hall of the medical school at XuZhou Road. However, with the petition of
professors and students, and also the investigation of historic building held by the
department of civil affairs of Taipei City, the result shows that there is historical significance
in these two buildings which should be preserved, and the pharmacy hall is especially
valuable. Therefore, the school decided to preserve these buildings and move them 22

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meters forward that more closed to the side of XuZhou Road for better coexistence of new
and old buildings..

Pic 1--Before and after re-locating of the old hall of the Department of Pharmacy of
National Taiwan University
3.1.1 Strategies at Different Stages
The pharmacy halls were built during the period of Japanese domination. Although there are
no related literature reviews regarding these buildings, the buildings are investigated and
confirmed being built around the age; the labs at first and second floor built later were not
the preservation targets. Based on the construction concerns, the floor was tore down and
rebuilt. After confirming the preservation parts, the excavating on the edge of the foundation
was executed. After re-locating the sewer system, the buildings were discovered as entire
brick masonry constructions without ground beams; therefore, new ground beams were
going to be built with section steel to withstand the fragile structures; furthermore, to
reinforce the structural members and the cracks around doors and windows with concrete,
superstrength healant, and putty. The construction applies up-down technique which mainly
works by adding new ground beams. The buildings were moved horizontally 4 meters a day
with hydraulic synchronous jacks, adding numerous round steel pipes and making pressurebearing boards to cooperate with the power hoist. During the re-locating process, it is
necessary to observe the uneven load problems or cracks of the buildings with naked eyes.
Also, the inclinometer was used for measuring brick walls and columns, ground or building
subsidence, and the tilt variation. The buildings were moved 22.7 meters north from the
original location. After finishing building the new construction, the old and new buildings will
coexist harmoniously.
3.1.2 Following Steps of Construction Preservation and Applications
The old hall of department of pharmacy in National Taiwan University was recognized as a
historic building in March, 1999. The whole building was built during the period of Japanese
domination and it was the first department of pharmacy in Taiwan established by National
Taiwan Medical School. Lee Chen Yuan, the academician of Academia Sinica, also
established his poisonous serum research center here. The spirit beyond the building itself is
much more meaningful and essential. The school intended to turn it into a pharmacology
museum in the future. The interior of the old building is currently unused, and the exterior
space is shared with the new building

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3.2 Integral Re-locating of Main Body: The body of construction is temporary


moved to where near the original location. After finishing the renovating
construction, the construction will be moved back to the original site. (Taipei
Workshop)
Taipei Workshop, located at the intersection of Tacheng Street and Shimin Boulevard, is
recognized as the grade three civil historic building which overlapped 4.8 meters with
Beimen Station of Taipei MRT Songshan Line and conflicted with its entrance. Additionally,
the project of Taiwan Taoyuan International Airport Access MRT System between Sanchong
and Taipei was designed to pass through Taipei Workshop underground. The construction
process might cause historic building subsidence and cracking. At the same time, Taipei
Workshop also located on the planned road of Tacheng Street which conflicted with the road
expansion project. To strike a balance between historic preservation and major
transportation development, Department of Rapid Transit System planned to move Taipei
Workshop 30 meters east south along with Tacheng Street under the preservation and
safety of the historic building. Taipei Workshop was temporarily located at the west side of
the wartime command center of Taiwan Governor-General Office, and it would be moved
back to the original location after finishing the underground construction

Pic 2Before & after re-locating of Taipei Workshop


3.2.1 Strategies at Different Stages
Taipei Workshop was established in 1909. Its architectural style is Japanese brick masonry
with steel structure. There are not reference describing about the basic structure of its body
and depth. However, the design, basic structure, and the depth would all influence the
excavating, soil retaining, dewatering, and drainage, so the excavating of the foundation is
necessary. Also, considering the fact of the history, exploratory trench was undertaken
especially. However, due to its nature of Archaeology, there is no further discussion in this
study. Before re-locating, there are still several steps needs to be operated first, such as
demolishing the additional parts of the construction, reinforcing the structure, designing relocating techniques, preparing for the measurement of the construction, temporary
protection, and repair works. To confirm the related construction materials for sustaining the
weight while raising and re-locating, the test of the strength of the rebar-planting and the
raising strength of fixture and ground beam were done on other brick buildings which was
scheduled to be demolished in the same area after getting the approval of Taiwan Railway.
The re-locating applies OPEN-CUT which excavates the basic structure entirely along with
the re-locating route, and paves rigid pavement and tracks for dragging the newly-built rigid

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tray under the existing foundation to withhold the structure of main body; and then relocating engineering is executing later.
To ensure the safety of the process, the whole process is under computational syncing
Hydraulic jack system, which is moving slowly with concrete ground beam, section steel
tracks, and round steel sticks to the new location. The building was moved 30 meters
horizontally and rose for 1.5 meters. At the same time, there are professionals investigating
the re-locating construction record and make reports regarding this process.
3.2.2 Following Steps of Construction Conservation and Applications
The architectural style of Taipei Workshop is the combination of Qing Dynasty and
Japanese-rule style, which stands out its historic significance. In the near future, the interior
of the workshop will be renovated as a gallery of historical photos, audio and video archive.
The city government is also planning to move the first German-made steam locomotive
Teng Yun which was introduced by Liu Ming Chuan, the first Taiwan governor during Qing
Dynasty, from its original exhibition hall, National Taiwan Museum to Taipei Workshop.
There will be an integral design of the Workshop and the future MRT stations. Now, since
the tunnel construction has been finished, Taipei Workshop could be moved back to the
original site. Currently, the preservation project is still ongoing with wrapping the exterior with
iron sheet, reinforcing the repair, and restoring the old as old; furthermore, investigating and
studying the historical document for better restoration.

3.3 Integral Re-locating of Main Body: The building is temporarily moved to


where near the original location. While the renovating construction is finished,
the building is moved back to the original site. (Kaohsiung Railway Station)
According to the transportation project designed by Kaohsiung City Government, the area
was going to be a three-rail union station (Kaohsiung Rapid Transit, High Speed Railway,
and Railway). The original project was to demolish Kaohsiung Railway Station, but it
happened to be included in the competition of 100 historic buildings at that time; therefore,
the demolition project drew peoples attention. Finally, because of the opposition of scholars
and public opinion, the city government gave up the idea of demolishing the train station.
Later, Railway Reconstruction Bureau of Ministry of Transportation and Communication
decided to move away main structure of the train station away for the underground
construction. After the construction finished, the station was moved back to the original site.
It now temporarily serves as a gallery
3.3.1 Strategies at Different Stages
The train station was built in 1940. Before re-locating, there are five investigations need to
be done: development process, construction analysis, structure analysis, currently situation,
preservation research, and cultural and historical significance estimation. Finally the main
body of construction which is full of memorial significance was left and the additional parts
built on demand function would be demolished. Basically, the preservation was about relocating the main crown structure of the construction. The front of the construction was

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preserved and the exterior wall was cut into 4 pieces on the left and five pieces on the right.
While preserving and reinforcing the original construction materials and techniques it was
built with, the repair was carrying out based on the principle of restore the old as old and
reuse. Afterwards, to excavate the foundation around the station and reinforce the ground
beams. The technique, Open-cut and oblique re-locating are applied on the re-locating. To
make sure the good connection and completeness between the old station and the new
station, the prime directive is to maintain the front entrance, and some walls of two wings of
the station were preserved for exhibition. There were many cutting positions. Cutting,
demolishing, and re-locating should be executed without damaging the main body. These
would be reorganized after re-locating back to the original sites. Roof tiles were demolished
first for specific preservation, and would be restored later. The weight of cutting walls were
about 50 to 60 tons (includes steel structure), which needs 25 tons, 160 tons, 200 tons
cooperating with the 35-ton trailer and move to the eastern location for permanent
positioning

Pic 3The positions before (left) and after (right) re-locating Kaohsiung Railway Station
3.3.2

Following Steps of Construction Preservation and Applications

Now the train station has been moved to the temporary site and become Vision for
Kaohsiung. Based on the historical significance of the building itself, citizens could
understand better the current situation of their city and future city planning. The purpose of
Vision for Kaohsiung is to present the past, present, and future of Kaohsiung; moreover, to
get citizens understand more about urban development and the blueprint. Except for the
exhibition space, some spaces will be outsourced. Industries are responsible for the cleaning
of exterior spaces, environment beautification, and also the maintenance fee and utilities.

4. The Preservation Standard of Integral Re-locating of Historic


Building and Strategies
Usually, in Taiwan, the preservation of historic building is based on integral demolition and
re-locating of brick and wood structure, and the integral re-locating applies to concrete
structure. The construction process could be divided into three stages: preliminary
assessment, design, and post-construction. In the primary stage, the integral movability is
judged upon field investigation, data collection, structure examination, and structure
analysis. In order to get a better understanding of the original structure of the construction,
original location, and new location, it is necessary to excavate and investigate the geological
conditions and evaluate the safety and reliability of the structure before executing the re-

294

locating. The reinforcement is undertaken according to the precise calculation, especially to


historic buildings, the safety of structure and deformation amount are way much important
than ordinary houses. In Taiwan, historic buildings are usually built with concrete, brick and
wood. Most of them are courtyards, temples, town halls, stations, and so on. Without
reinforcing the structure and fixing it integrally first, the fragile structures and construction
materials will often get cracked or even damaged.

4.1 Integral Demolition and Re-locating and Integral Re-locating of Main Body
There is no distance limit in demolition and re-locating. Because it numbers the construction
materials and then demolishes them and reorganizes in somewhere else. The key point of
this technique is on the preliminary assessment which requires a profound investigation and
understanding of the history and architectural style of the building. There are two concerns of
the re-locating, one is the completeness of the construction after reorganizing, the other is
while the re-locating distance is longer, it might change the environment too much.
Therefore, after the re-locating, historic buildings usually wont be used for other purposes
but become exhibition halls for cultural relics which needs to be maintained and protected by
experts of heritage preservation in a long term and with a great amount of maintenance fee.
Also, there is a high demand of professional skills for the demolition of historic buildings.
Without dealing it properly, it would cause other damages, even the irreparable results.
Disputes would come along as well. Therefore, while executing internal demolition,
carefulness and exhaustiveness are needed..
Integral re-locating of main body is the combination of architecture and civil engineering. The
basic principle is similar to using hoist to move goods horizontally, which works by turning
and raising. The influences it might cause to the surroundings during the re-locating process
is a big concern. The re-locating distance is limited. But while the new location is nearer to
the original location, the influence it brings to the environment is not that much. Basically,
this technique requires cut-off at the ground beams of the construction which separates the
construction and the foundation. Install mobile joists at the cut-off, and set new foundation at
the new location. Between new and old foundation, there is a re-locating track. After
installing the power system, move the construction from the original location to the new
location without causing too much vibration. Later, remove the joists and tracks, and connect
the construction structure with the new foundation.
Integral demolition and re-locating belongs to the field of heritage preservation which is very
complicated on demolition and reorganization. The relevant knowledge and practical
experiences of repairing or re-locating traditional, Japanese, and contemporary architecture
are required for personnel. The consumption of human power, time, budget are higher, and
even the controversy is greater than integral re-locating of main body. Also due to different
construction methods, different techniques are applied. If the circumstances is acceptable, it
would be better to move historic buildings with integral re-locating of main body which is
safer and more complete.

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4.2 The Technique of Integral Re-locating of Main Body


There are three techniques of Integral Re-locating of Main Body, such as techniques of
OPEN-CUT, CUT-OFF, and UP-DOWN. According to the construction structures, it is
necessary to assess basic structure, the weight of re-locating, the subsidence, tilt, cracking
of buildings; also, construction materials, decoration situation, and blocks on the route, for a
better executing way. While dividing works because of construction process, there are five
steps which includes excavating and examining the structure on site, reinforcing the main
body, setting up mobile system, re-locating structure, and connecting structure
(1)OPEN-CUT
Based on its literal meaning, OPEN-CUT is to excavate at the bottom of construction, to
move along with the route, to re-locate at new locations, and then to install supports and
tracks. After re-locating the construction at the new location, the repairment and will be done.
Advantages:
Simple and easy work
Shorter construction period
Less construction expense
There is neither raising nor lowering in this technique, so the risk is less.
Disadvantages:
There are earthwork needs to be excavated, dumped, and backfilled for recovery.
If there are roads on the re-locating route, it would disturb the traffic and the influence it
brings might take a long time.

Pic 5The Schematic diagram of OPEN-CUT

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(2)CUT-OFF
Excavate the ground around the building and cut off the foundation; then replace the
supports and move the construction to the new location. Later, connect the original
construction with the new foundation, and then repair it.
Advantages:
The re-locating route is on the ground surface, no excavation, dumping, backfill
needed.
There is neither raising nor lowering in this technique, so the rick is less.
Disadvantages:
Tough work
Longer construction period
Higher construction expense
Need to cut off the foundation and it is easy to get the original construction

Pic 6The technique of CUT-OFF


(3)UP-DOWN
To excavate around the construction and then raise the entire building completely. After relocating the construction at the new location, the construction should be lower down for
connecting with the new foundation.
Advantages:
The re-locating route is on the ground surface, no excavation, dumping, backfill
needed.
Disadvantages:
The most difficult technique among these three techniques
The longest construction period
The most expensive
With higher construction risk due to the raising and lowering

Pic 7The technique of

UP-DOWN

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4.3 Considerations s and Key Points of Integral Re-locating of Historic


Buildings
Generally, there are three essential points of integral re-locating of historic building.
(1) The protection and preservation of surroundings of the construction are included. The
planning of the whole area is supposed to scheme out before the re-locating project.
Environment protection comes first. If the environment could be recovered and renovated,
then recovery comes first. Unless it is impossible for recovery, then building re-locating is the
least option.
(2) Constructions preserved following its history, functions, outcome, and decoration are
supposed to be conserved especially; such as Kaohsiung Railway Station, Taipei Workshop,
and so on.
(3) Some constructions which only have additional parts which worth of preserving could be
partially demolished and then undertake the re-locating. After re-locating, it could also
connected with the design of new constructions.
Many historic buildings are lack of maintenance for years; therefore, the structures are
greatly damaged. Due to the lack of original designs and documents, the assessment is
done with the investigation on site. If the risk of re-locating is way too high, then demolition
re-locating could be considered. The key points of re-locating are: reinforcing the structure,
replacing, setting tracks, and connecting and fixing.
(1) Structure Reinforcement: Usually, the structure of historic buildings are seriously
damaged due to its age. Therefore, before re-locating, the structure assessment and
reinforcement are required to be done, which could avoid the damages during the relocating. Take Taiwan as an example, the common historic buildings could be classified
into three kinds: traditional wood structure, brick-wooden structure of Ming and Qing
Dynasty, and the masonry and concrete buildings of the period of Japanese dominant.
Wooden structure: The structure components are brick tiles, wood frame, stone drum,
square tiles, brick-stone foundation, stairs, and foundation with a mixture of lime, clay, and
sand. Roof and wood frame are supposed to be reinforced.
Brick-wood structure: After Ming and Qing Dynasty, most brick-wood structures of wood
frame, brick walls, wood stairs, wood floor, and tile roof. Need to pay attention to wood
frame, floor and stairs.
Others: During the period of Japanese Rule, masonry and concrete buildings are now still
functional. The structures are complete and able to use normally. There is no further
reinforcement needs to be done usually. If the reinforcement is needed, the premise is the
outcome.

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(2) Replacement: Most historic buildings in Taiwan are low-rise, the weigh is light, and the
bearing of replacement is little; but the wholeness of structure is bad. Therefore, the strength
of foundation needs to be increased.
(3) Railway technique: Most historic buildings needed to be relocated are small. The total
weight is light but the entire structure is bad. Thus, it is very sensitive to the vibration.
Therefore, the foundation of tracks needs to be strong enough. While excavating the
foundation, the influences happened between the upper part of the construction and the
original foundation are essential. The excavation of large area should be avoided.
(4) Connection and fix: The most direct way to preserve the original construction.
The wholeness of integral re-locating could not be decreased. While constructing the relocating speed could not be too fast. Also, the supervision needs to be improved. Except for
consulting with the construction design department, it is necessary to negotiate with relevant
people of heritage preservation.

5. Conclusion
There are two factors influenceing decisions regarding integral re-locating, which are social
and economic factors. On the perspective of economic factor, if the construction is still
functional, and there is no safety or space concerns, the re-locating expense is one sixth of
the total of demolition and new construction. On the perspective of social factor, except for
the historic sites being protected by law, it is very expensive to move and repair other
buildings which also have memorial or historic significance. Most owners choose to demolish
the buildings, but that causes unpredictable cultural loss. Based on most peoples opinions
of the society, it is much easier to demolish and rebuild those buildings than to move them.
Unless there are strong opponents from the public or the construction itself incidentally
arouses most peoples vibrations, the re-locating could be possible. After re-locating, most
historic buildings serve as exhibition halls, and based on the investigation, the operation of
exhibition hall could not really afford the maintenance fee actually. Some buildings even
become absent or damaged without repair eventually. Therefore, while making the decision
of building re-locating, the following plan of how to use and maintain the building is
necessary and essential; otherwise, it would fail the goodwill from the beginning.

References
Lee Oi Kwan & Wu er Jun (2006) Integral Re-locating Technology for Building, China
Building Industry Press [in Chinese]
CIOU YU-KAI & YOU CHENG FA & LI ZONG XIN(2008), "Taiwan Governor's Office, the
Ministry of Railways - Integral Re-locating Technology for Taipei workshop,MRT technology
biannual, Issue 38 [in Taiwan]
Kaohsiung City Government Works Bureau(2004),Old train vision Old of the Kaohsiung
Railway Station, re-locating activities Record " Space magazine[in Taiwan]

299

CIB 2013 World Congress


BIM-supported planning process for sustainable
buildings Process Simulation and Evaluation
through Exploratory Research
Iva Kovacic1, Lars Oberwinter2, Christoph Mller3
Abstract
One of the consequences of increasing complexity of planning and construction process is a
large number of disciplines participating in planning process, all of whom use wide spectrum
of specialised visualisation, simulation or calculation tools. With the maturing of BIM tools
and their increasing presence on the market, the hope for possibility of maximisation of
process-integration through joining all of the different building-representation models in one
single joint model came up. The planning practice reality however demonstrated a number
of upcoming problems with BIM implementation on technical- (heterogonous data,
interfaces, large data volumes) but even more so on process-level (question of
responsibilities and work-load distribution, lacking standards or conventions on buildingrepresentation). The optimal data management, transfer and synchronisation within very
inhomogeneous software context, such as employed within construction projects, require
enormous organization, coordination and communication effort in the earliest design-phases.
The BIM implementation implies therefore on necessity of fundamental rethinking of the
traditional design process; for which the knowledge is still largely lacking.
In this paper we will present the first results of the exploratory research carried out at the
Vienna University of Technology. We simulated a BIM-supported multi-disciplinary planning
process with students of architecture, structural engineering and building physics, using
several BIM-software tools. First insights on process-quality, such as team-, process- and
technology satisfaction, as well as conflict- and stress levels will be presented. We were able
to identify numerous technical problems related to the data transfer and inconsistencies in
translation, which resulted in participant dissatisfaction and significant increasing of workloads.
The first results imply on the importance of traditional process-design techniques such as
face-to face communication, coordination and work-load allocation between the teammembers in order to conduct efficient BIM-supported process; as well as on urgent need for
advancement of the tools in terms of data transfer- and exchange. In the next step, using
mandatory protocols and timesheets, a detailed statistical analysis of the people-processtechnology issues will be conducted, as well as comparison of Open-Platform-BIM to OnePlatform-BIM model.
Keywords: BIM, Collaboration, Integrated Planning, Exploratory Research, Experiment

Assistant Professor; Department for Industrial Building and Interdisciplinary Planning; Vienna
University of Technology, Karlsplatz 13, 1040 Vienna, Austria, iva.kovacic@tuwien.ac.at
2
Research Assistant; Department for Industrial Building and Interdisciplinary Planning; Vienna
University of Technology, Karlsplatz 13, 1040 Vienna, Austria, oberwinter@industriebau.tuwien.ac.at
3
Research Assistant, Department for Industrial Building and Interdisciplinary Planning; Vienna
University of Technology, Karlsplatz 13, 1040 Vienna, Austria, cmueller@industriebau.tuwien.ac.at

300

1. Current issues in BIM-adoption and utilization


With upcoming requirements for sustainable building, the need for more integrated planning
practice, which would enable simultaneous collaboration of various disciplines in order to
share and create new common knowledge, arises. BIM (Building Information Modelling) has
often been recognised by research and practice as suitable tool for support of collaborative
planning, facilitating communication and information exchange between diverse planning
process participants; and eventually to leading to maximization of efficiency- and quality and
reducing time effort (Sebastian and van Berlo, 2011). Especially promising seems BIM in
terms of life-cycle oriented planning and optimisation. BIM is largely understood as objectoriented digital representation of a building or built environment that enables interoperability
and data-exchange in digital form (Kiviniemi et al 2008). In this context BIM addresses
primarily the process of model-building and information exchange (Succar, 2007). BIM is
believed to bear large potential towards integrated design (Prins and Owen, 2010) inducing
a shift from AFC fragmented practice that still largely dominates the AFC industry (Fellows
and Liu 2010). Rekkola et al (2010) argue that integrated design is still handled rather
loosely in the practice often is the creation of BIM model sufficient for the project to be
referred to as integrated project, regardless of actual interdisciplinary data sharing and
model use. BIM, in our understanding is much more about how (design of design process),
that about what (building model and its properties). Since the AEC industry is projectoriented, the small markets are characterised by high fluctuation of the employees and of the
related know-how loss. Owen et al (2010) point out the need for enhancement of skills of
project members, which are often highly specialised in own fields of expertise, but seldom
trained to work in integrated project environment. The organizations also seldom support this
kind of professional development. The introduction of the new BIM-tools therefore mostly
means more than simple CAD-tools shift, since the adoption is mostly related to the
reorganization of the processes and management strategy of the project-based organization.
In the practical BIM operation and use a number of problems on different levels can be met.
On the technological level the questions of the interfaces in the data transfer of the
interdisciplinary models arises, as well as of the heterogeneous data-structure of the
different software the art of model building and management of ever larger data-volumes.
On the semantical level, it can be noticed that each discipline needs individual information;
the professional languages differ strongly as well as the means and methods to represent a
building (Bazjanac and Kiviniemi, 2007). The spectrum reaches from diverse lists for project
management and quantity surveys, over reduced slab model for structural engineering for
earthquake simulation, to complete spatial representation of architectural model in the full
geometric complexity. The optimal management, filtering and reliable synchronisation of
these very differentiated information in the context of in the building industry still dominant
heterogeneous software-structure requires high effort in organisation, administration
interdisciplinary communication and know-how. A standard solution offering the complete
software package for this large spectrum does not yet exist, and it is a question if such
solution is viable for every building and consequently every design process is of prototypic
nature.
The high fragmentation of the design and construction process disables the management of
complexity the linear planning process of highly specialised disciplines proves as not

301

suitable for the achievement of sustainable buildings. The necessity for change in the way
the buildings are designed, constructed and operated is being continually reported by the
practice. The emerging of highly developed BIM tools together with maturing of promise a
paradigm change from the linear, fragmented process towards more integrated practice that
would not only bring benefits for the planning and construction but even more so for the
optimisation of operation. A life-cycle oriented approach brings whole-life value enabling
knowledge management and -transfer form life-cycle phase to phase and integrating building
services and automation systems (Owen et al, 2010). The BIM-based Software-packages
that would fully support and enhance the integrated, interdisciplinary planning practice and
holistic life-cycle oriented data integration are still rather seldom. One-stop architecture and
structural engineering, MEP (mechanical and electrical engineering), energy optimization,
cost- and life cycle cost calculation are not available for the needs of Central European
planning practice and building policy. Caused by the different project-constellations and
mostly changing project-stakeholders with each new project, new combinations of software
tools are to be met with each new project. For a successful implementation life-cycle
oriented planning and management strategies, enabling smooth data exchange without
information losses, standing in close relation with further development of open formats for
data-exchange is a pre-requisite.
The BIM research was mainly focused on the problem-solving of the software-interoperability
and efficient data exchange, only recently has the academic community realised that the
successful BIM-adoption towards more integrated design and delivery is not only related to
the handling of technical, but even more over so of the issues related to the need for the reorganisation of the design process itself (Succar, 2010, Pentil 2008). This relates to the
inter-organisational organization and standardization of the work-flows, role descriptions and
related responsibilities of the stakeholders, as well as to the general commitment towards
collaborative planning attitude. Rekkola et al (2010) argue the lack of knowledge beyond
technological issues, in domain of workflow and business practices, where actual benefit of
BIM is. In their case study of university building project, they identified problems and benefits
of BIM-supported integrated process by creating categories: people (competence or
knowledge problem), process (work-flows, timing, contracts, roles) and technology
(software). They argue that a) for enhanced integrative practice a participative process is
necessary and b) that the slow BIM-adoption in the practice is caused by the difficulty of
interrelation (triangulation) of the people-process-technology problems.

2. Towards a research model


The over-all understanding for of BIM- related benefits for planning networks and for built
environment is still not well understood, due to the complexity of the tools, but more over to
the related transformation of planning process and inter-organisational procedures.
Therefore, we argue that closer research of examining interrelations within the triangle:
technology (operability) - people - process is necessary. In order to evaluate BIM
performance regarding technology-people-process framework within an integrated planning
process we conducted an experiment with students, simulating a multi-disciplinary planning
process for sustainable building, using different BIM-software settings. Several experiments
on BIM-performance either in real-time projects or simulating planning process with students

302

have been conducted, however always primarily focusing either on technology performance
(interoperability, building model semantics) or on people-process issues.
Plume and Mitchell (2007) conducted in 2004 an experiment with 23 in a design studio
setting students testing the IFC-model performance in multi-disciplinary collaboration
(architecture, landscape architecture, MEP, statutory planning, sustainability and
construction management.) They focused primarily on operational issues, such as building
model (representation of a building model in different tools) and IFC server data sharing
issues. They conclude that the original architectural model needs significant adoption for the
use of other disciplines or their tools. Further issue that needs attention is modell
management tracing of the changes and updates carried out on the common model
Sacks, Kaner and Eastman (2010) carried out the Rosewood experiment, comparing the
BIM-supported versus the traditional 2D CAD the planning and fabrication process of the
pre-cast faade. BIM proved to be more efficient by 57%, however IFC proved not mature
enough causing data inconsistency in transfer between architectural and engineering
system. Losses in translation are to be assigned to object-semantic, a similar problem
addressed by the Plume and Mitchell.
Sturts Dossick and Neff (2011) observed the collaboration of several teams on three real
projects using a BIM-technology supported design process, focusing on people and process
issues. They concluded that technology can even hinder the innovation of the design
process through a too rigid corset of work-flow and knowledge exchange, hindering the
exchange of tacit, informal knowledge. Their concept of messy talk the informal,
unstructured information exchange as often practiced in architecture and construction
engineering is tested within student experiment, where geographically distributed teams
work using BIM on a project in a virtual environment. They conclude that messy talk
requires both the flexible, active, and informal setting described in the 2011 study as well as
mutual discovery, critical engagement, knowledge exchange, and synthesis. (Dossick et al
2012).

3. Empirical Research through Experiment


Through exploratory research an experiment within an interdisciplinary design class
involving 40 students, the collaborative, multi-disciplinary BIM-supported planning for an
energy-efficient office building is simulated. The experiment is a part of an on-going research
project BIM-Sustain: Process Optimisation for BIM-supported Sustainable Design involving
three institutes of Vienna University of Technology and seven BIM-software vendors. The
close collaboration of academy and industry in this setting enables development of the
customised strategic concepts for the BIM-tools within multi-disciplinary planning process
and immediate impulses for improvement of software-tools. The multi-disciplinary teams
taking part in the experiment consisting of: architect, structural engineer, building physicist
(BS) were formed by the means of a pre-questionnaire, which questioned skill-level,
experience and preference of the software. Upon the results of questionnaire a matrix of
software-combinations used by each team was compiled (Figure 1).

303

Figure 1: Software-combinations used by the teams


In the course of the experiment (design class) basically two work-flow models can be
identified: One-Platform BIM (proprietary) and Open-Platform BIM.
The Open-Platform BIM (Fig. 1, Groups 3-11) uses different, for each discipline relevant
(typical, custom) software and works with central architectural building model, exchanging
the data using the IFC. The One-Platform BIM (Fig. 1, Groups 1 und 2) work with one
software family Nemetschek Allplan (2012) or Autodesk Revit (2012) using proprietary
standard.

Figure 2: Multi-disciplinary teams, related building models and data transfer


The teams are producing the architectural-, structural, thermal and ventilation (as
representative of MEP) models, as well as thermal simulation and energy certificate in
collaborative manner (Figure 2). The groups were given an assignment consisting of a
functional programme, site-plan with orientation and set origin, layer-structure and colour
scheme for latter room-stamps. The time-schedule of the design-class is strictly organized;
the experiment is taking place for one semester. We have organised three presentations,
where in the first one the architectural model is presented, in the second presentation the
structural and thermal and in the final presentation the optimised, full model containing all

304

the information. Between the presentations the crits as well as tutorials provided by software
vendors are taking place. The experiment is examining the efficiency of the two BIM-models,
communication effort, and work-allocation (work-flows) as well as satisfaction and conflict
levels. Through the mandatory protocols and time-sheets the problems related to the
technology (data transfer inconsistencies or losses, semantics) but also to the processpeople related problems (conflicts, communicational difficulties, lack of work-flow definitions
or responsibilities etc.) can be tracked. Additionally an e-learning platform has been set up,
with a forum for tutor feedback as well as for student-communication, scheduling and posting
of tasks is taking place.

4. First findings
The first data on satisfaction was gathered at the point close to the second presentation of
structural and thermal models basically one data exchange step has taken place export
from architectural model towards RFM and thermal simulation software. In the student
workshop through rough questionnaire answered by 19 students (three architects, two
engineers, 14 BS), a) satisfaction with BIM-technology, b) satisfaction with teamwork, c)
satisfaction with process (work-flows), d) conflict-level and e) stress-levels were questioned
on the scale ranging from 0 (low) to 6 (high).
Table 1: Results of the first questionnaire
Question

Mean Value

Meadian Value

Satisfaction with BIM

1,89

Satisfaction with teamwork

3,84

Satisfaction with process

2,37

Stress level

4,16

Conflict Level

1,37

The general BIM-technology dissatisfaction resulted through data transfer problems,


reported especially by the BS students, using TAS simulation software, where data
exchange uses gbXML standard. Mostly all of the architectural models had to be newly
drawn in TAS due to the data loss or wrong interpretation by TAS. It was reported by the
students that the time effort for the adaption of the imported model was equal to the time
effort for creation of new model (two days).
When passing architectural geometry into structural analysis software two types of IFC-Files
are used: Coordination View and Structural Analysis View (BuildingSmart 2012). Software
for Finite Element Method (FEM) Simulation requires the Structural Analysis View of an IFCFile. But only a few CAD-Programs support the export of this type (Tab. 3), as well as not
every FEM-Program supports the import of the physical model (Coordination View Tab. 2).
As a consequence, an intermediate step is needed to transfer the model from architecture to
structural model: an import into a program which can import and export both types of files, a
step which goes along with a loss of information (Figure 3). Due to this incompatibility it was

305

i.e. not possible to import an Allplan-Model as an IFC-File into the FEM-Software Sofistik
(2012), because both programs support the type which cannot be read by the other one.
Table 2: Compatibility with IFC Coordination View
CAD

FEM

Archicad

Dlubal RFM

Allplan

Scia Engineering

Revit

Sofistik

Tekla

Table 3: Compatibility with IFC Structural Analysis View


CAD

FEM

Archicad

Dlubal RFM

Allplan

Scia Engineering

Revit

Sofistik

Tekla

The IFC 2x3 (structural analysis view standard) still leads to variety of problems: especially
more complex geometry such as sloped or rounded walls, roof elements and openings are
very likely to cause problems or even disappear when being imported.

Figure 3: Results from export from architectural model, import in RFM simulation

306

For example, problems were the identified with Tekla Structures (2012): stairs become
boxes, openings disappear, and round elements become rectangles. Findings from data
transfer from Allplan to Scia (2012): when round walls are used, the model takes long period
of time to get imported in Scia (hours). To illustrate further problems, we assembled a scene
containing several pertinent elements, exported an IFC file and imported this into different
structural analysis programs. Figure 4 illustrates the architectural model; Figures 5 and 6 the
interpretations by different FEM software - a completely different result when importing the
exact same IFC file.

Figure 4: Architectural model from ArchiCAD16a

Figure 5: Import in Dlubal REFM

Figure 6: Import in Scia

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5. Conclusion
This paper presented the first results of an experiment: simulation of BIM-supported multidisciplinary design of energy-efficient office building, using various kinds of BIM-tools for
architectural, structural, ventilation and thermal simulation modelling. For both structural
engineering and thermal simulation, the data transition becomes difficult as soon as there is
complex geometry involved, such as round walls, which have caused problems in all
software-combinations. A problem of semantics of building models is a constant issue
architects use different room-stamps than BS, the pillars are drawn from slab to slab
whereas structural engineers work with one continuous pillar from top to bottom slab. Further
difficulties originate from incompatible software-combinations such as Allplan
Sofistik, or
Archicad
Sofistik (see Tables 2 and 3). Such constellations can lead to significant
problems in the current BIM-supported planning practice, if e.g. an architectural office using
Archicad has to work with the structural engineers using Sofistik, since the data transfer will
not be possible and purchase of additional software or of additional BIM-services will lead
to increase of the planning costs.
In terms of comparison of One-Platform BIM versus Open-Platform BIM, it can be concluded
that One-Platform BIM constellation, as closed system, does not exist on the market yet. The
One-Platform BIM Software (Nemetschek Allplan and Autodesk Revit) both leave the original
platform in order to conduct structural calculation and simulation; however offer proprietary
interface to these software or even plug-ins (Revit to Sofistik). Even with proprietary
interfaces the complex geometry causes problems in transfer through very long transfer-time
(Allplan to Scia). The Open-Platform BIM, using IFC interface has proved as time-efficient
and exact in transfer, if there is a standardised setting used for IFC transfer from
architectural in structural model, and under condition that simple geometry is involved.
Our findings when compared to the student experiment executed in 2004/05 by Plume and
Mitchel show that Archicad has made significant progress (at that time it was not able of
producing a functioning IFC); however the question of the building-model semantics for
different disciplines and the difference in the grade of required detailing for each model has
not been solved yet. Our findings basically confirm the findings of the Rosewood experiment
we experience similar data losses and wrong interpretations at export-import of IFC;
Rosewood experiment works with the same version of IFC. Further development of IFC is
urgently necessary.
The satisfaction with the BIM-technology at current intermediate stage is has been
reported as low, due to the very difficult data-transfer, inconsistency and data losses,
especially so for the thermal simulation, where models had to be redrawn. Processessatisfaction has been found as weak: work-flows are poorly organised among teammembers, there are many problems in allocation of responsibilities. In many teams it is
expected from the architect to undertake all of the major adaptions of the architectural model
in order to make it fit for the transfer (the consultants are not ready to adopt the imported
models). Teams often report that some team members are often not available.

308

On the level of people-related problems, despite the reported low conflict level, teamsatisfaction is only average. We were able to observe a lack of team affiliation with most of
the teams, often a bonding between the two disciplines can be observed and the third one is
not playing along. This phenomenon might be referred to the lack of an organised kick off
meeting. Some of the problems originate in the lack of professional knowledge (e.g. design
of an office building or energy efficient facade) and in generally to lack of experience and
knowledge of collaborative planning. In some cases the lacking of the teambuilding/bonding, and following the aim to just finish the project led even to an increase of
fragmentation of the design process (architect defines everything, the consultants only
optimise in following steps), which is exactly the opposite of the expected BIM-effect. We
can confirm the argument by Sturts, Dossick and Neff (2011) BIM-technology is
advantageous for exchange and presentation of explicit knowledge, but does not support the
tacit knowledge of how the buildings are designed. Our first findings also imply that BIMtechnology does not support integrated practice by itself, for the support of the collaboration
other means are necessary such as well organised formal (kick-off meeting) and
opportunities for informal communication (von Both and Zentner 2004).
Finally, BIM as presently used, hardly changes the work-flow between architects and
structural engineers, not only due to technical interface limitations but even more so due to a
logical contradiction. FEM models require a far lower level of detail than the architectural
model delivers, so any automatically converted model necessarily needs to be postprocessed manually by the engineer in order to simplify the model for reasonable meshing
and resulting calculation times. When importing a coordination view IFC into calculation
software, the discretization of architectural models into FEM-suitable meshes is carried out
within the import and is hence forced to accept the model geometry as it is. For example, a
small rounded wall opening, lets say for a drainage pipe, will produce a complex mesh in the
FEM model when being imported. For the structural system however, this opening is
irrelevant, but still causes enormous effort in calculation and will hence be deleted by the
engineer. Once simplified, such a wall element cannot be re-exported into the central model,
because otherwise the opening would be missing. Vice versa, once the architectural model
changes and is re-imported, the opening is back. The possible solution is either the radical
improvement of FEM-software performance concerning calculation time for meshing; or
enabling of the FEM software to directly manage the referential architectural model. The
problem of bi-directional model-management remains one of the greatest challenges, not
only because of the technical issues but mostly because of the process issues: definition of
rights (who may change what and when?) related to change management. As first future
step, detailed statistical analysis of the mandatory protocols and time-sheets will be carried
out in order to gain more knowledge on performance of One-Platform BIM versus OpenPlatform BIM, as well as of communication effort, work-allocation, satisfaction and conflict
levels. In 2013 we will conduct the second experiment, where we will be able to use the first
findings and propose framework for data-exchange procedures as well as careful design of
communication. Finally we will compare the results of the two experiments, evaluate the
benefits and verify the framework.

309

Acknowledgements
This paper is a result of an on-going research project BIM-Sustain funded by FFG (Austrian
Research Funding Agency) and following BIM-software vendors: A-Null, Artaker, b.i.m.m.
Gasteiger, Dlubal REFM, Sofistik, Construsoft Tekla and Nemetschek Allplan. We gratefully
acknowledge the work of the academic partners: Institute for interdisciplinary Construction
Process Management, Prof. C. Achammer, Institute for Management Sciences, Prof. S.
Ksegy, Dr. M. Filzmoser and Institute for Building Physics and Ecology, Prof. A Mahdavi, L.
Skoruppa and K. Kiesel, and to all the students taking part in this project of Vienna
University of Technology.

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311

The mandatory and voluntary approaches to


sustainability: BASIX vs BEAM Plus
Daniel C. W. HO1, Janet X. GE2, Ervi LIUSMAN3
Abstract Title
Many assessment systems have been introduced to measure the environmental
sustainability of buildings that aim to reduce energy consumption and carbon emissions over
the last decade. Examples are the BRE Environmental Assessment Method (BREEAM) in
the UK, Leadership in Energy and Environmental Design (LEED) in the US and Canada, the
Green Star and Building Sustainability Index (BASIX) in Australia, and the Building
Environmental Assessment Method (BEAM) Plus in Hong Kong. Some of the systems,
such as BASIX, apply a mandatory approach for implementation; others, such as BEAM
Plus, are voluntary with incentives. This paper aims to compare the difference between
BASIX and BEAM Plus and discuss their different approaches to building sustainability.
The comparison is important because it would then be possible to evaluate the implications
of the environmental assessment policy tools in which two different approaches are used.
The paper will first study and compare both the BASIX and BEAM Plus assessment
systems. Second, the advantages and pitfalls of the mandatory and voluntary approaches
will be identified and discussed. The paper is based on desk research. The impacts of
the environmental policy tools, determined through case studies that will be conducted,
should reveal if a voluntary-with-incentives approach is the stronger motivation for the
building industry to improve its environmental performance.
Keywords: Environmental assessment tools, Mandatory and voluntary approaches,
BASIX, BEAM Plus

1. Introduction
The international debate over sustainable development has emphasized development that
meets the needs of the present generation without compromising the ability of future
generations to meet their own needs (WCED, 1987). This brings up the issue of the
importance of environmental sustainability, which prompts the development of environmental
assessment systems. The Environmental Impact Assessment (EIA) and Life Cycle
Assessment (LCA) are two well-known environmental assessment systems and two basic
methodological frameworks. The EIA is an official assessment of the possible outcome of

Associate Professor; Department of Real Estate and Construction; The University of Hong Kong;
5/F Knowles Building, Pokfulam Road, Hong Kong; danielho@hku.hk.
Senior Lecturer; School of the Built Environment; University of Technology Sydney; PO BOX 123,
Broadway NSW 2007, Australia; XinJanet.Ge@uts.edu.au.
Post-doctoral Fellow; Department of Real Estate and Construction; The University of Hong Kong;
5/F Knowles Building, Pokfulam Road, Hong Kong; ervi@hku.hk.

312

the proposed policy, program, and project on the environment to ensure environmentally
sound and sustainable development (Gilpin, 1995; UNEP, 1996); while the LCA is a tool for
measuring the use of resources and the impact on the environment integrated with a product
and process (Park and Seo, 2006). Yet, the building and its activity falls somewhere in
between the EIA and the LCA (Crawley and Aho, 1999).
The activities associated with the buildings have a negative impact on the environment (e.g.
high energy consumption due to HVAC and lighting, pollution due to building construction;
excessive consumption of natural resources due to the manufacture of building products;
construction waste, etc.). Building environmental assessment systems are inevitably
required for the Earths sustainable development.
Some building environmental
assessment tools have been launched since early 1990s. The currently available tools vary
greatly, as they are designed for different needs and purposes. Some were developed to
gauge different building types; while others focus on different stages of a buildings life cycle
(Haapio and Viitaniemi, 2008). Examples are the BRE Environmental Assessment Method
(BREEAM) in the UK, Leadership in Energy and Environmental Design (LEED) in the US
and Canada, the Green Star and Building Sustainability Index (BASIX) in Australia, and the
Building Environmental Assessment Method (BEAM) Plus in Hong Kong. A number of
studies have discussed and compared these assessment systems (e.g. Cole, 1999; Crawley
and Aho, 1999; Forsberg and von Malmborg, 2004; Ho et al., 2005; Seo et al., 2005; Ding,
2008; Haapiio and Viitaniemi, 2008; Reed et al., 2009, 2011; Kajikawa et al. 2011). Yet,
little concern has been given to the significance of the mandatory and voluntary approaches
of building environmental assessment systems. BASIX in New South Wales (NSW),
Australia implementing a mandatory approach and BEAM Plus in Hong Kong adopting a
voluntary approach with incentives could be cases worth studying. The main objectives of
this paper are to compare the differences between BASIX and BEAM Plus and discuss their
different approaches to building sustainability. These two assessment systems are
selected due to their popularity as green building initiatives in Australia and Hong Kong.
This paper will also identify and discuss the advantages and pitfalls of mandatory and
voluntary approaches for building environmental assessment tools. The paper is based on
desk research.

2. The need for building environmental assessment tools


Global warming and climate change have been a main concern of nations around the world.
Excessive energy use has led to an increase in the Earths temperatures to critical levels.
Energy consumption in the Asia-Pacific Economic Cooperation (APEC) region, which also
includes the U.S., Canada, Russia and some countries in South America, continues to
escalate. Per capita electricity consumption in countries like China and South Korea has
been exceptionally high, rising from 764 kWh in 1999 to 2,287 kWh in 2009 and from 4,594
kWh in 1999 to 8,325 kWh in 2009, respectively (EMSD, 2012). Meanwhile, per capita
electricity consumption in Hong Kong and Australia has grown modestly by 13% and 10%,
respectively, over the last decade. In contrast, countries like the U.S. and Canada
experienced a decrease in electricity consumption by 2% and 7%, respectively over the
same period.

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About 40% of a nations primary energy consumption comes from buildings (Kua and Lee,
2002). Energy is required for heating, ventilating, cooling, and lighting a building. Most
modern buildings rely heavily on artificial heating and air conditioning, which result in high
electricity consumption and carbon dioxide generation from the production of electricity.
This can jeopardize human health and the Earths ecosystems. Much effort has been put
into reducing energy consumption and carbon emissions and improving the environmental
performance and quality of buildings. A growing interest in building environmental
assessments has resulted in more qualitative and quantitative assessment tools (Forsberg
and von Malmborg, 2004). Before 1990, most benchmarks for buildings were concerned with
a single criterion to gauge a particular aspect of building performance, e.g. energy use,
indoor comfort, or air quality (Ding, 2008). BREEAM, the first commercially available
building environmental assessment tool introduced in the UK in 1990, made the first real
attempt to measure a comprehensive range of environmental considerations in buildings
(Crawley and Aho, 1999; Grace, 2000). In partnership with private developers in the UK,
BREEAM was launched as a credit award system for new office buildings and later extended
to all building types, including residential, educational, medical, and industrial units (Ding,
2008). BREEAM has been a reference model for the schemes established in Canada,
Hong Kong, New Zealand, Norway, and Singapore (Lee and Burnett, 2008). Thereafter,
numerous environmental assessment tools for buildings were developed around the world
(Haapio and Viitaniemi, 2008). LEED in the U.S. and Canada is among the most popular
building environmental rating schemes. Like BREEAM, LEED is a voluntary program that
deals with the entire phases of a buildings life cycle and covers individual buildings all the
way up to entire communities. In addition, LEED offers tax rebates and zoning allowances.
Other building environmental assessment tools include Green Star and BASIX in Australia,
BEPAC in Canada, Eco-Quantum in the Netherlands, GOBAS in China, BEAM Plus in Hong
Kong, Greenmark in Singapore, and CASBEE in Japan. These systems provide a wideranging assessment of environmental impacts due to the activities associated with buildings
by aiming to measure the sustainability of the built environment (Reed et al., 2009). Some
of the literature on this field have discussed these building environmental assessment tools
(e.g. Cole, 1999; Crawley and Aho, 1999; Ding, 2008; Kajikawa et al., 2011). Some studies
even compared these rating tools (e.g. Forsberg and von Malmborg, 2004; Seo et al., 2005;
Haapiio and Viitaniemi, 2008; Reed et al., 2009; Kajikawa et al. 2011). Lee and Burnett
(2008), for example, compared HK-BEAM (the former version of BEAM Plus), BREEAM, and
LEED; while Kajikawa et al. (2011) explained the building environmental assessment tools in
detail in their coverage of BREEAM, LEED, GBTool, and CASBEE. In Hong Kong, Ho et al.
(2005) compared HK-BEAM, Intelligent Building Index (IBI), Building Quality Index (BQI) and
Comprehensive Environmental Performance Assessment Scheme for buildings (CEPAS).
Despite these distinctive systems, a comprehensive assessment of a buildings
environmental characteristics is required for designers and building owners to achieve higher
environmental standards so as to be able to protect the environment and achieve
sustainability for the built environment (Cole, 1999; Ding, 2008). The assessment tools can
raise stakeholders awareness of environmental issues and provide a verifiable framework
for professionals to design, construct, and manage property more sustainably (Reed et al.,
2011).

314

3. Australian context
In Australia, the three most commonly-known systems are Green Star, established by the
Green Building Council of Australia (GBCA); the National Australian Built Environment
Rating System (NABERS); and the Building Sustainability Index (BASIX). Green Star is the
most commonly-used tool there and is equivalent to BREEAM and LEED (Reed et al., 2009).
It rates a building in regards to the health and wellbeing of its occupants and their
accessibility to public transport; its management, water use, and energy consumption; and
the embodied energy of its materials, land use, and pollution (GBCA, 2012). It uses Stars
to rate these performances, with four, five, and six stars indicating Best Practice, Australian
Excellence, and World Leadership, respectively. All dwellings in Australia, except for
those in NSW, must achieve 4-5-star thermal performance standards, as regulated by the
Building Code of Australia (BCA).
NABERS is another indicator that assesses an existing buildings environmental
performance during its operational stage. It rates a building by the impacts from its building
operations, namely in the energy, water, waste, and indoor environment categories
(NABERS, 2012). NABERS was developed for commercial buildings and houses by the
Department of Environment and Heritage in 2001 and operated by the government (Ding,
2008). It is a voluntary self-assessment tool with an accredited rating score of 10 being the
best (Ding, 2008).
In NSW, BASIX overrules the BCA requirements and sets the required levels of
environmental performance in a number of areas, namely energy, water, and thermal
performance. Like NABERS, BASIX is operated by the government. It was introduced in
July 2004 by the NSW Government to assess the potential performance of residential
buildings against a range of pre-determined criteria (Ding and Ge, 2009). It is the first
scheme to be introduced to Australia with mandatory requirements, which is implemented
under the 1979 NSW Environmental Planning and Assessment Act. BASIX is an online
assessment tool accessible to everyone and is easy to use. It applies to all new residential
developments with a total estimated cost of A$50,000 or above and all residential alterations
and additions (A&A) works with total cost of A$100,000 or above in NSW. Sustainability
features must be incorporated into the buildings design to meet the water and energy
targets. A BASIX Certificate has to be obtained and attached to a development application.
The applicant (the building owner, designer or developer) must input the data of the
buildings design (e.g. building materials, location, size, etc.) into a BASIX tool, in which the
data will be automatically analysed and the score for the water and energy targets
generated. A BASIX Certificate contains the description of the proposed development, a
list of its commitments (covering water, thermal comfort, and energy) from the applicant to
promote the sustainability of the proposed development, and a statement to fulfil the
sustainability requirements. The certificate can be printed online if the design passes the
water and energy targets, which vary by building type and location. Council staff will verify
the development application against the certificate and the certifying authority will inspect the
agreed-upon commitments at various phases of the construction. An occupation certificate
will only be issued upon the satisfactory compliance with the particular commitments stated

315

in the BASIX Certificate. A BASIX completion report will be issued upon the completion of
the development (BASIX, 2012).

4. The Hong Kong Context


In Hong Kong, two assessment schemes have been introduced, namely the Comprehensive
Environmental Performance Assessment Scheme (CEPAS) and the Building Environmental
Assessment Method (BEAM) Plus. CEPAS, commissioned by the government and
announced in 2007, is a voluntary scheme that intends to promote green buildings. It
applies to new and existing commercial and residential buildings and provides a common
benchmark to gauge a buildings environmental performance.
It employs an
adaptive/weighting approach and has eight performance categories: 1) resource use, 2)
loadings, 3) site impacts, 4) neighbourhood impacts, 5) indoor environmental quality, 6)
building amenities, 7) site amenities, and 8) neighbourhood amenities (Cole, 2005; Ho et al.,
2005). The original plan of promoting CEPAS was to offered exemptions from the
calculation of gross floor area (GFA) and site coverage in exchange for building construction
with environmentally friendly features. However, the idea was dropped due to objections to
spending public funds to subsidize developers (Lee and Chen, 2008).
The former version of BEAM Plus, the Hong Kong Building Environmental Assessment
Method (HK-BEAM), was introduced in December 1996 with two assessment methods,
namely new and existing office buildings. It was originally initiated by the Real Estate
Developers Association of Hong Kong together with the Planning Environment and Lands
Bureau, Swire Properties, Hong Kong Land, Hong Kong Polytechnic University, and the
Business Environment Council in 1995 (BEAM, 2012). It follows the structure of BREEAMs
global, local, and indoor scales by embracing a wide range of environmental issues on
buildings. In 2003, the standards were revised to cover all types of buildings during all
stages of each buildings life cycle. HK-BEAM aims for more environmentally sustainable
building designs and operations (HK-BEAM Society, 2004a, 2004b). By the end of October
2009, approximately 199 landmark developments totaling more than nine million square
metres of commercial space and 50,000 residential units had been assessed. HK-BEAM
clients include the public and private sectors.
The BEAM Society merged with three other industry associations (the Construction Industry
Council, the Business Environment Council, and the Professional Green Building Council) to
form the Hong Kong Green Building Council (HKGBC) in 2009. The BEAM Society,
however, remains the owner and operator of the BEAM assessment system. The revised
green building rating systems, BEAM Plus New Building and BEAM Plus Existing Building,
were officially launched in April 2010 and endorsed by the HKGBC. The BEAM Plus
Version 1.2 for New Buildings and Existing Buildings, introduced in 2012, are improvements
over the earlier versions by introducing a holistic element for Passive Design (BEAM
Society, 2012).
Similar to CEPAS, the certification of BEAM Plus is voluntary. Its certification enjoys an
incentive of 10% GFA concessions upon the submission of a development application to the
relevant authorities. Since the incentive means an additional bonus to developers, a BEAM

316

Plus certification will become a standard requirement for new developments. Currently,
there are over 240 projects registered for BEAM Plus assessment. Buildings are assessed
by trained assessors called BEAM Professionals (BEAM Pro). The training program was
introduced in 2010 and as of now, there are approximately 1,800 BEAM Pro-accredited
assessors (HKGBC, 2012b).
The buildings will only be assessed upon their completion to certify their actual performance.
However, Ding (2008) criticized that such a system assesses a building as it is built rather
than as it was designed and the assessment process is not transparent. An assessment
should be undertaken at the early stage of the design to incorporate environmental issues.
Nevertheless, BEAM Plus covers the relevant regulatory or basic design requirements,
including health and safety issues. It is an instrument for benchmarking building
sustainability and improving building performance, thereby ensuring safe, healthy, efficient,
and environmentally friendly working and living environments (BEAM Society, 2012).
Credits will be awarded if a buildings performance meets the defined criteria. Similar to
BEAM earlier versions, BEAM Plus employs checklists to facilitate the consistent
assessments (HK-BEAM Society, 2004a, 2004b). As a leading building environmental
assessment tools in Hong Kong, BEAM Plus and its voluntary approach is worth studying
and being compared against the mandatory approach of BASIX.

5. Comparison between BASIX and BEAM Plus


Both BASIX and BEAM Plus are building environmental assessment systems. BASIX is an
assessment tool for residential buildings (new and Alteration & Addition works); while BEAM
Plus covers all types of buildings (new and existing), including residential properties.
Despite their fundamental similarities, BASIX and BEAM Plus are quite different in nature.
BASIX is mandatory and was introduced to ensure that dwellings are built to be more energy
and water-efficient (BASIX, 2012), while BEAM Plus is a voluntary scheme with diverse
objectives. BEAM Plus aims to make building developments more sustainable and ease
the long-term impact of buildings on the environment by improving safety, hygiene, and
indoor environmental quality (IEQ); minimising pollution; promoting energy efficiency;
trimming the consumption of non-renewable resources; and encouraging the recycling and
reuse of materials (BEAM Society, 2012). The scope of BASIXs assessment includes the
commitments of water use, energy use, and thermal comfort performance, while BEAM Plus
covers site aspects, material aspects, energy use, water use, and IEQ. The scope of
BASIX looks much simpler than that of BEAM Plus, as some sub-items of BEAM Pluss site
and material aspects were actually incorporated into BASIX. No incentive is offered for
BASIX; while the certification of BEAM Plus enjoys an incentive of 10% GFA concessions.
A comparison of BASIX and BEAM Plus is shown in Table 1.

317

Table 1: Comparison of BASIX and BEAM Plus


Aspect compared

BASIX

BEAM Plus

Mandatory

Voluntary with incentives

Launch date

2004

1996

Incentive

N/A

10% GFA concessions

Department of Planning &


Infrastructure, NSW Government

HKGBC

N/A

Bronze/Silver/Gold/Platinum

Nature

Governance
Award classification
Scoring system

Target for each commitment:


Water: Range between 0% and
40% across NSW

Type of buildings
Assessment stage
Assessment method
Assessment category

Percentage of applicable credit


gained:
Bronze : 40%

Thermal Performance: Pass or Fail

Silver : 55%

Energy: Average of 36% across


NSW

Gold : 65%
Platinum : 75%

Residential (New and A&A works)

All type of buildings (New and


Existing)

Early design stage

All stages; recommended at the


planning stage

Feature-specific criteria

Performance-based

Water Use

Site Aspects

Energy Use

Material Aspects

Thermal Performance

Energy Use
Water Use
Indoor Environmental Quality

Assessors

Verification of development
applications against BASIX criteria
by Council staff;

By independent BEAM assessors


(BEAM Pro) on behalf of BEAM
Society Limited

Inspection of the BASIX


commitments during construction
by Professional Building Certifiers
Certification Authority

Director-General of the Department


of Planning

HKGBC

Issue of certificate

During design stage

Upon building completion

Certification Fee*

Certificate Issuing Fee: A$50-$120

Registration Fee: HK$20,000


$110,000
Assessment Fee: HK$90,000
$400,000

Completion Report Fee

Free of charge

N/A

Online registration

Yes

Yes

Online certification

Yes

No

46,000 individual homes

50,000 residential units***

Free of charge

Free of charge

N/A

Annual

Number of residential units


certified**
Availability of assessment tools
Revision of documentation

Source: BASIX, 2012; BEAM Society, 2012; HKGBC, 2012a


Note: * Fee for new development, A$1 = HK$8 approximately;
** as of 2009;
*** HK-BEAM (former version of BEAM Plus).

318

On the subject of governance, BASIX is administered by the state government, while BEAM
Plus is managed by the HKGBC, a non-governmental organization (NGO). The certifying
authority for BEAM Plus is therefore the HKGBC; while that for BASIX is Director-General of
the Department of Planning.
The entire certification process (from registration to
certification) of BASIX can occur online, while BEAM Plus only provides online registration.
A BASIX applicant can input the design data into an online assessment tool that can
generate a target score and print out a BASIX Certificate, which will later be verified against
the development applications by the council staff; while BEAM Pro on behalf of the BEAM
Society undertakes a BEAM Plus assessment. Time required for BASIX certification is
shorter, but the applicant will later be involved more in the assessment process than under a
BEAM Plus assessment. More time (no fewer than 90 calendar days from the submission
of materials for assessment to the issue of a certificate) is required for a BEAM Plus
assessment. As of 2009, number of residential units being certified was 46,000 for BASIX
and 50,000 for HK-BEAM (former version of BEAM Plus). BASIX was launched in 2004;
while BEAM assessment in 1996. BASIX is comparatively much green in terms of
establishment year. Nevertheless, the number of residential units certified for both
assessments are relatively similar. This implies that BASIX certification process is more
efficient. In the long term, BEAM Plus should consider shortening the certification process
to attain more high quality built environments.
Every applicant for a BASIX certification must submit an application for a new development
to the Council attached with a BASIX Certificate. A dwelling is assessed during its design
stage and the energy and water reduction targets must be met before printing the BASIX
Certificate. In comparison, a BEAM Plus certification is not required before application for a
new development. Assessment starts through a developers initiative to obtain the
certification, such as being motivated by the incentives offered. An applicant can register
online with the HKGBC during the planning or design stage. Once the HKGBC has
received the application, it will disseminate it to the BEAM Society for assessment. The
assessment for a new building will only occur upon the buildings completion to certify its
actual performance (BEAM Society, 2012). The above mentioned indicates that the
assessment of BASIX is feature-specific criteria and BEAM Plus is performance-based. In
fact, an assessment is recommended before the buildings design is conceptualised so that
environmental issues can be incorporated into it (Ding, 2008). Such an assessment may
be insufficient if it happens when the design is about to completed (Crawley and Aho, 1999;
Soebarto and Williamson, 2001; Ding, 2008).
The award classification of Bronze, Silver, Gold, or Platinum is shown in a BEAM Plus
Certificate. These ratings are derived from the overall assessment grade determined by the
percentage of available credits obtained under each performance category and its weighting
factor (BEAM Society, 2012). Each category has its own weighting factor, which is
assigned to indicate its significance and global trends. BASIX does not have an awards
classification. The BASIX Certificate merely reveals the score of each target. An applicant
will not obtain the certificate if the targets of water, thermal comfort, and energy cannot be
achieved.

319

Basically, a BASIX assessment is free of charge. The government only charges a fee to
issue the BASIX Certificate. The charge for the certificate is comparatively low, costing
from A$50 for a single detached dwelling to A$120 for each of the first three apartments in a
building and A$20 for each additional apartment (BASIX, 2012). Another type of charge for
BASIX is optional, which is on top of the charge by the government issuing a BASIX
Certificate. The applicant may pay for a private BASIX consultant to prepare a set of BASIX
documents for submission. The charge to prepare a set of BASIX documents for submission
is usually about A$300 for each detached house. The BEAM Plus assessment and
certification fee is more expensive than that of BASIX. Its registration fee ranges from
HK$20,000 (A$1 = HK$8 approx.) for small projects (with a construction floor area of less
than 2,499 square metres) to HK$110,000 for mega projects (with a construction floor area
of 200,000 to 400,000 square metres). The assessment fee ranges from HK$90,000 for
small projects to HK$400,000 for mega projects. Despite the GFA incentive, the expensive
registration and assessment fees often discourage small homeowners from trying to obtain
BEAM Plus certification. Nevertheless, small homes only account for a very small portion
of Hong Kongs housing stock.

6. Discussions: mandatory and voluntary approaches


The voluntary approach has been gradually accepted around the world since the Earth
Summit in Rio de Janeiro in 1992 (Lyon, 2003). A number of manufacturing companies
have made voluntary pledges to enact environmentally friendly programs. Additional
research studies have emerged to examine how well these voluntary approaches have
performed (Gunningham and Sinclair, 2002; Annandale et al., 2004; Arimura et al., 2008).
In the mining and forestry sectors, the voluntary approach for improving environmental
performance can play a role from the view of foreign direct investment (Gunningham and
Sinclair, 2002). Compared to the emergence of the voluntary approach two decades ago,
the evolution of the mandatory approach started much earlier. Mandatory codes to control
energy use in buildings emerged during the mid-1970s (Lee and Chen, 2008). Both
approaches have advantages and pitfalls.
The mandatory versus voluntary schemes of control have been discussed in other
disciplines, such as in the disclosure of financial and real externalities (Dye, 1990); food
safety (Segerson, 1999); the disclosure of product risks (Polinsky and Shavell, 2006), etc.
Within public policies for environmental protection, Lyon and Maxwell (2003, 2007)
compared the voluntary approach to a subsidy payable to a plant that adopts environmental
technology and the mandatory approach to the adoption of an environmental tax. Lyon and
Maxwell (2007) found that a mandatory scheme can yield greater environmental
enhancement than the voluntary scheme with incentives, as long as there is no significant
political obstruction. But when there is intense political obstruction, the voluntary scheme is
more desirable. This confirms the outcomes of Lyon (2003), who investigated the
outcomes of voluntary versus mandatory approaches and highlighted that voluntary
schemes were unable to reach similar levels of environmental protection than when they
were mandatory. Lyon (2003) further argued that a voluntary scheme is a weak
mechanism when political resistance thwarts the implementation of a more robust mandatory
scheme.

320

In the area of building environmental assessment systems, only a few places have
implemented mandatory systems (e.g. BASIX). The majority of assessment systems adopt
the voluntary approach, with some systems offering incentives, such as LEED providing tax
rebates and zoning allowances and BEAM Plus offering 10% GFA concessions. The
mandatory approach of BASIX sets one environmental standard and well-defined
sustainable housing targets to ensure that new built dwellings are more energy and waterefficient (BASIX, 2012). However, the drawback of BASIX is that it applies only to new
developments and A&A works. Ninety-eight percent of existing homes consume nonrenewable resources and pollute the environment (Ding and Ge, 2009), which means that
BASIX does not do much for environmental sustainability. Besides, relying on the design of
a project to realize the goal of sustainable development is insufficient to solve current
environmental problems (Ding, 2008).
On the other hand, the voluntary-with-incentives approach of BEAM Plus can encourage
designs to incorporate more environmentally friendly features. The incentive of 10% GFA
concessions is attractive enough to a number of developers in Hong Kong, while the call for
environmentally sustainable building designs can be transmitted fully throughout the
economy. This extra GFA will mean additional income to developers. It is not surprising
that BEAM Plus certification will become a standard requirement for new developments in
Hong Kong. However, Haapio and Viitaniemi (2008) argued that it was possible for low
quality buildings to opt out of the assessment if it is not mandatory. They also pointed out
that the assessment will only focus on high quality buildings due to their high success rate
to obtain higher grades. They suggested that assessments should become mandatory. A
standardized framework needs to be developed for the ease of studying and comparing new
designs and buildings. Yet, a mandatory approach can only work when there is an absence
of political obstruction. When political pressure exists, the voluntary-with-incentives
approach governed by NGO will be an effective alternative to achieving environmental
sustainability. The effective incentives may include density bonuses, tax rebates and faster
building permits (Miller et al., 2008). Furthermore, the certification fee is another aspect to
consider. Despite the incentives, the expensive certification fee of BEAM Plus may
discourage the small developers to obtain the green building certification. Studies need to
be undertaken to promote environmental sustainability to this group of developers. The final
question is whether the government will use taxpayers money to subsidise building owners
to undertake their building certifications. To this end, the voluntary-with-incentives
approach remains a more desirable tool for the building industry to improve its environmental
performance.

7. Conclusion
The comparison of BASIX and BEAM Plus was reviewed in this study.
Despite
fundamental similarities between the two, both BASIX and BEAM Plus are different in nature
and approach. BASIX is mandatory, while BEAM Plus is voluntary with incentives. Each
has a distinctive assessment method, scoring system, and certification fee scale.
Applicants for BASIX certification are required to include in their dwellings sustainable
housing features that meet energy and water reduction targets. A certificate cannot be
issued if the targets are not met. This mandatory approach is more likely to be seen as a

321

form of punishment than as an encouragement to building owners. It can be more effective


and deliver greater environmental enhancement than the voluntary-with-incentives approach
if there is no political hindrance. On the other hand, the voluntary scheme of BEAM Plus
can motivate building owners to incorporate environmentally friendly designs into their
structures in order to obtain GFA concessions. This incentive can spread throughout the
economy and motivate building owners to improve their buildings environmental
performances. However, due to its voluntary nature and third party (BEAM Pro) certification
approach, the registration and assessment fees for BEAM Plus Certification are high. Such
costs will discourage many building owners, particularly small developers, from seeking
certification. The time-consuming of BEAM Plus certification process will also be a
hindrance to achieve building environmental sustainability. Further studies are required to
address the issue of high certification fees and length of certification process. Case studies
should also be conducted to confirm if the voluntary-with-incentives approach is adequate to
motivate building owners to improve the environmental performances of their properties.

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325

Householders' Maintenance System for Former


Rental Houses in the Historic Urban Structure of
Budapest
Gergely I. Molnarka1
Abstract
The urban structure of historic districts of Budapest, Hungary can be described with the
semi-intensive installation of rental houses. The building stock that determines the cityscape
was largely constructed between 1890 and 1944. The economic and social environment of
this era influenced the life cycle of these buildings. The war damage and the compulsory
socialization that followed the war (and therefore the centralized maintenance protocol) were
major factors in the degradation of their condition.
Due to the transition to democracy in the 90s changes have happened in the property
structure of apartment building stocks. Nowadays, the maintenance of former rental houses
causes serious problem for owner communities (inhabitants). The overall cause of decay of
global consistence is complex and only a (not negligible) segment of this originates from
economic factors. The lack of technical knowledge and the ignorance of the methods of
Facility Management also influenced the state of the buildings adversely. In practice the
interventions have been ad hoc, based on avoiding life-threatening failures.
Based on the statements above it is clearly evident that the former rental houses, which
represent a dominant proportion of the building stock of the inner districts of Budapest are
heavily handicapped. Due to their age these low quality buildings made of weak building
constructions are in critical state; the applied maintenance protocol is insufficient (value
added repair processes were done in small rate only).
The preservation of historical urban structure, the total commercial value of concerned
apartments and the global national economy status also justify the sustainment of rental
buildings, despite the fact that the individual architectural value of these buildings is low.
In this paper we propose a decision support tool that considers its users competency in
Facility Management and the attributes of the former rental houses discussed above. This
method may support the unprofessional owners communities in managing the renovation
process of the given building.

Professor Assistant; Department of Building Construction and Architecture; Szchenyi Istvn

University, Gyr, Egyetem tr 1., Hungary; mgergo@sze.hu

326

The construction of the evaluation method is based on the fuzzy signature rule base, where
the needed information and data is obtained from former surveys and analyses.
The application of the method is represented on an overall analysis of the total building
construction of a rental house built in 1912. Beyond the analysis of the results of the case
study we recommend further developments for expanding the efficacy and availability of the
method.
Keywords: historic rental house, evaluation method, Facility Management, fuzzy
signatures, decision support

1. Introduction
In the frame of an overall survey of changing living conditions in Budapest, the rehabilitated
urban areas were examined focusing on social, economic and environmental sustainability.
In the near past, two major urban rehabilitation projects were (almost) accomplished in the
interior districts: one in the Mid-Francis Town (district N 9) and another in Josephs Town
(district N 8). At present time, the building stock built before the WWII in eight blocks of MidFrancis Town are being studied.
Among the 88 houses located in this area, 41 apartment houses were built before 1944; 24
buildings were totally rehabilitated with the organization and financial support of the Local
Government before the privatization of apartments. The rest (17 buildings / 320 apartments)
were sold without important repairs a previously accomplished visual diagnostic survey
considered them as houses in good physical condition. As a matter of fact, these buildings
also have several defects, and an overall comparison with the other historic buildings in the
examined area visibly shows that these buildings and their owners are the losers of the
urban rehabilitation.
The ownership communities of these houses are now in an uncertain situation: they have to
manage their maintenance without any strategy and little financial background.
In the present article a proposal for a decision-support tool is outlined that is based on a
collection of technical information of the involved buildings. The attributes of buildings can be
arranged in a predefined structure, where all information on the buildings can be evaluated
systematically. Without any detailed explanation it is obvious that the goal (decision-support
tool) and the circumstances (classified data structure, involvement of experts) strongly
recommend the application of an expert system. Issuing from the character of data on hand
and the observation methods applied, the expert system may well be based on fuzzy set
theory, especially on the approach of fuzzy signatures that is an effective tool for describing
and characterizing objects with multiple and vague uncertain attributes.

327

2. The Examined Type of Apartment Houses


2.1 History of Rental Houses from the End of 19th Century in Hungary to the
present time
The golden age of Budapest took place between 1870 and 1920. During these fifty years the
urban structure of inner districts was developed; the closure of streets almost obtained their
present state. The main characteristic architectural element that represents Budapests
golden age is the rental house-type apartment building. There are several different rental
houses by the quality, the style, the owner, the inhabitants social status, the location, etc.
This together reflects well the mood of the nineteenth century-fashioned downtown of
Budapest. Another urbanization progress happened after 1928 that ended in 1942; the social
rental houses that were built in this period represent the so-called modern attitude to life.
The socialization of building stock extended to the rental houses of historic districts of
Budapest; this procedure took ten years only after the Second World War. Since these
houses symbolized the middle class of an ancient regime, the political leadership took more
effort in developing new quarters then maintaining existing former rental houses. A stateowned company maintained the flat stock with low efficacy. The result: old and untouched
rental houses were in bad condition at the end of socialist era.
After the transition to democracy (1989) the obligatory maintenance task in the housing
sector was the task on the new political leadership Since there was not any economically
powerful customer, the state sold the apartments to their tenant for an artificial low price
(regulated by the housing laws, 1991; 1994). In ten years the ownership system has
changed totally: before the privatization the state owned more than 50% of total apartment
stock, in 2001 only 8,6% of apartments were in the hand of the state.

2.2 Actual Status of Former Rental Houses in Historic Urban Structure


After analysing the available nationwide statistic survey it is ascertainable that a significant
number of existing apartment houses were built before the WWII (see Error! Reference
source not found.). This percentage becomes higher when the analysis focuses on the
historic districts of towns. In the examined area 57,5% of apartments is located in buildings
more than seventy years old.
Table 1: The distribution of flat stock by building period by Aczl G and Gutai B (2006)
district N9

Mid-Francis Town

Rehabilitated Area

Nationwide

before 1919
1919-1944
1945-1959
1960-1969
1970-1979
1980-1989
1990-2001
Total

15 351
5 285
630
7 764
1 242
1 206
1 575
33 053

6 862
1 120
205
246
62
699
1 359
10 553

1 238
394
2
2
0
10
1 190
2 836

484 677
442 403
424 950
550 944
861 271
685 518
273 279
3 723 042

before 1944

20 636
62,43%

7 982
75,64%

1 632
57,55%

927 080
24,90%

328

The Act of Freehold Flats (2003) regulates the law regarding discussed apartment houses.
Among other instructions it also determines the organization structure of the living
community and the owners responsibility in maintenance procedure. The annual meeting of
house tenants makes decision about the maintenance processes; the process is managed
by the communitys freely elected joint representative.
Twenty years after a transition to the market-based sector in the housing market the financial
consolidation of rental houses has not yet finished. The experienced migration process
resulted in the appearance of new inhabitants in the historic districts of Budapest and the
available capital of the owners community is still insufficient for supporting total renovation
procedures.
Beside the unfavourable financial situation and the interdependence of the owners, the lack
of knowledge and experience in building maintenance on the part of joint representatives
also hinders the technical consolidation of former rental houses. However, Local
Governments give limited financial aid for houses improving their condition; this support may
be effective with well-organized reconstruction plans.
In major cases the society of owners is able to repair only the most dangerous damage that
originates from obsolescence process. The required interventions override every previously
determined schedule; therefore the inhabitants may feel that the physical condition of their
house remains unchanged year after year.

3. Attributes of the Examined Rental House


In the examination area a representative building was chosen from the seventeen rental
houses involved. In this five-storey building (built in 1912, the copy of original blueprint is
presented in Error! Reference source not found.) there are 52 apartments at several sizes
and lived in by residents with different social status. Considering the shape, the materials
and the decorations applied, this building can be classified as an historic rental house. The
ownership community (52 owners) has a small bank savings that grows slowly year by year
and is reserved for renovation and repairs.

329

Figure 1: Site plan, section and elevation of the examined building (1912, source
Budapest Archives)
After a joint representative election an overall visual diagnostic survey was done by an
independent professional team in 2012. The survey report describes the observations of
professionals - statics, constructional, mechanical and electric - divisions. The statements of
this report represent an average former rental house of the historic areas of Budapest with
typical failures. The report summarizes the problems that have to be solved, without
proposing any action plan or giving a priority list of interventions.
With the information obtained by diagnostic surveys the owners community aimed to
develop a maintenance action plan. Although a well-constructed Facility Management
application can help scheduling the repair tasks, the available FM software is overpriced for
such building size.
The building failures and their repairs can be ordered in several ways. The main aspects for
the comparison are the dangerousness and the repair costs; but there are other important
factors that have to be taken into consideration (the interrelation of building failures, possible
Local Government financial supports, comfort and aesthetic demands of inhabitants, etc.).
Many of these aspects cannot be measured or there is no data that can be evaluated. In
addition, the number of total collected factors that cannot be handled with a simple decisionsupport tool is twelve.
Without any detailed description of the experienced failures, the report emphasizes more
than twenty significant building failures that have to be repaired. The evaluation of the
failures by all factors with a traditional method would take long and would be inefficient.

4. The Fuzzy Signature-based Expert System


4.1 Application of Fuzzy Signatures
In the case of the planned decision support tool the generalization of fuzzy sets first
introduced by Zadehs proposal (1965) has to be mentioned; Zadehs early student, Goguen
(1967) proposed the concept of L-fuzzy sets. Vector-valued fuzzy sets are introduced by
Kczy (1980). Vector valued fuzzy sets assign to each element of X a set of quantitative
features rather than a single degree this way providing additional information about the
specific element.
Fuzzy signatures (Kczy et al, 1999) are generalized vector valued fuzzy sets, where each
vector component is possibly another nested vector. This generalization can be continued
recursively to any finite depth, thus forming a signature with depth m.
The structure of fuzzy signatures can be represented both in vector form and also as a tree
graph (
Figure 2 represents both the vector form and the tree graph of the proposed structure).

330

Fuzzy signatures can be considered as special, multidimensional constructions that are


applicable for storing structured fuzzy data. In this structure the dimensions are interrelated
in that a sub-group of variables determines a character on a higher level. Therefore, complex
and interdependent data components can be described and evaluated in a compact way.
In many applications, the observation of experts can be described in different ways, even the
structure of observation can be different; nevertheless decisions have to be taken based on
these data. With the assistance of signatures these alterations in structures can be handled.
The main advantage of the application of fuzzy signatures is that they can handle situations
with
uneven
data
structures and information.

Figure 2: Tree structure and vector form of fuzzy signature


Furthermore, the model created for the given task can be arranged hierarchically (Wong et
al, 2003); this feature is very similar to the way of thinking of human experts. This fact
underlines the argument that fuzzy signatures are deployable in the area of decision making.
The advantage of fuzzy signatures is that they organize the available data components into
hierarchical structures. This hierarchy determines the basic structure of fuzzy signaturebased observations. It may occur that some elements are missing at several observations.
Therefore, it is necessary to have a kind of structure modifying operator for comparing
signatures with quite different structures. It is advisable to apply aggregation operators for
reducing sub-trees to their parent node. In the case of a multileveled hierarchy, a recursive
process leads to the aggregated value of the parent node being generated.
In our case, the most important question was definition of the aggregation operators. The
structure of the fuzzy signature supports the use of different aggregation operators for each
node.

331

5. Proposal: Application of Fuzzy Signature-based System in


Building Maintenance Protocol
As described in Section 3, it is difficult to rank the necessary interventions if every aspect is
kept in mind. This fact ends to decisions in the maintenance process, being based on
professionally incomplete information.
In the following a formal system will be proposed that may support the decisions of owner
communities in the maintenance procedure. The proposed tool offers an effective solution
for applying the experts knowledge in responsible decision making. This system is based on
fuzzy signatures described in Section 4.
The application of fuzzy set theory was proposed in bridge maintenance systems recently
(Szaradics, 2007). As Agrdy implies (2008), soft computing techniques may help
differentiating sets of objects of built environment by several aspects. As a decision support
tool the fuzzy expert system was also proposed for determining the ranking of intervention in
case of building failures (Molnrka, 2010).
The circumstances determining of intervention ranking discussed above are quite different
from the core problem being considered here. The methods of the assessments that were
implied in the mentioned papers are applicable for examining the physical condition of the
buildings and their elements without considering the financial, energetics and other nonprofessional context in their place. The aim of the present paper is to obtain a
comprehensive and comparable data set for each needed maintenance action; therefore it
was not possible to narrow the aspects to the physical and measurable conditions without
losing important information.
This intent has resulted in a large scale set of examination aspects that is difficult to handle
without any classification abilities. This also explains why the adaptation of hierarchical
system of fuzzy signature makes the support tool effective.

5.1 The model


As the first step, the basic structure of the fuzzy signature is developed from the available
data and the experts knowledge; then the adequate fuzzy sets of data elements must be
determined. The next step is the identification of fuzzy signature based rules applying the
experts knowledge and the available input-output pairs. When the rule base is ready, the
fuzzy signature based observation can be directly evaluated, thus generating a suggested
decision.
Let us overview the concrete structure of the fuzzy signature suitable for representing the set
of attributes and their respective relations used in the maintenance order evaluation
approach.

332

In the context of this study the accessible information on a building failure may be arranged
in three main groups, which constitute the first level of the fuzzy signature structure (nodes
x1; x2 and x3).
For aggregating sub-trees within the fuzzy signatures the WRAO operator (Weighted
Relevance Aggregation Operator, introduced by Mendis et al. (2006) was applied. With the
application of weighted aggregations more expert knowledge can be involved in the
examination. Via this operator the owners' community may also articulate its intention in the
decision making without decreasing the weight of technical and financial factors. The
initiated relevance weight determines the relevancy of a child node on a higher level. For
determining the relevance weights by observation Mendis et al. (2006) propose a method
that is applied in the current evaluation; in addition, questionnaires of experts of several
professional fields (architects, urban sociologists, diagnostics) were taken into account.
For describing different components of the structure linguistic variables may be applied. The
next step is to define these linguistic variables and their membership functions.
The global evaluation and range determination of maintenance process is a complex task.
As mentioned above a large number of factors have to be considered when a failure and its
repair are evaluated. The goal of the discussed study was to obtain a comprehensive
character of each intervention. Therefore, the parent nodes in the fuzzy signature structure
are the three basic factors of the decision making in the given situation: importance of
intervention; financial aspects and subjective components.
In the following, the parent and child nodes are described in groups: their relevance weights
are denoted with w. For the proper application of fuzzy set signatures it has to be confirmed
that at the leaves, membership functions shall be applied over the [0,1] interval: for this
reason the basic sets of the determined attributes have to be normalized to [0,1]. The closer
the value of observation is to 1 the better is the quality in each respect.
At the nodes and at the leaves of the fuzzy signature structure partitions of triangular or
trapezoidal sets are applied forming Ruspini partitions. Accordingly to this, the aggregate of
function parameter of sets is 1 for every elements of basic set.
The results of the building diagnostic report are represented with the Importance of
Intervention (x1; w1=0.8) input variable in the parent node; its leaves describe the different
attributes of the subjected failure (dangerousness, interdependence, etc). The assessments
are evaluated and encoded with the assistance of a knowledge base of building diagnostic
expert system.
The financial calculations that are only estimated data in the present state are based on
available statistic data base of building industry. These calculations are supplemented with
additional information of the possibility of Local Government Support and the analysis of
financial perspective of the owners community. In addition, the possible value improvement
of the subjected building was also examined with a separated variable. The Financial
Aspects (x2; w2=0.6) input variable as a parent node synthetizes these data. However while

333

some information consist of numerical values, several data can be described with linguistic
variables only.
After presenting the results of the diagnostic survey an opinion poll was taken in the owners
community about their preferences. In this survey the owners had to rank the experienced
failures subjectively. With this survey the most bothering failures were compared to each
other from the users point of view. The Subjective Factors (x3; w3=0.3) input variable gives
an extra aspect that cannot be evaluated with classic methods.
It is clearly visible that the data structure is mainly vague; therefore the application of fuzzy
logic is reasonable. Table 2 represents the input variables in hierarchy with remarks about
data sources.
Table 2: Classified and weighted input variables and data source
First level (parent nodes)

Leaves (child nodes)

Data source

danger x11; w11=0.8


interdependence with other failure x12; w12=0.7

diagnostic report

Importance of Intervention

protection of other construction x13; w13=0.5

x1; w1=0.8

energetic performance x14; w14=0.3

database built on
former building
diagnostic analyses

accessibility x15; w15=0.2

technical literature

hygienic, aesthetic aspect x16; w16=0.1


estimated cost x21; w21=0.9
Financial aspects

Local Government support x22; w22=0.7

x2; w2=0.6

schedulable expenses x23; w23=0.4

quotation of
contractors
Local Government
regulations

value improvement effects x24; w24=0.3

estimations based on
experiences

Subjective factors

non-professional priority x31; w31=0.8

x3; w3=0.3

visibility x32; w32=0.5

data mining from a


questionnaire

334

The Figure 3 represents the child nodes of the Financial Aspects variable. This figure
summarizes the aggregation procedures and other consecutive steps of calculation.

Figure 3: The membership functions of financial aspects (x2)

5.2 The Rule Base


At the first level the number of available input variables is three. Their partitions (6;4;2
partitions) result in the total number of rules in the rule base being 48. At the level of child
nodes a different (much higher) number of rules can be identified from the partitions of input
variables. The detailed description of these input variables and their partitions can be found
above. The hierarchical structure of the signatures necessitates dealing with a rule base of
very high complexity.

5.3 Inference Method


Basing on Mamdani-type inference (introduced by Mamdani and Assilian, 1975), Tams
(2007) introduced the generalized method that operates on signature based rule bases. In
this method the alteration is only in the first step, where the degree of matching between
observation and the rule antecedents is determined.
In the discussed procedure this method is applied, where the minimum conjunction is taken
as the aggregation operator for reducing the signature structure.

6. Results
The examined buildings were evaluated with the method discussed above. The partial
results are collected in the Table 3. The experienced failures are denoted by keywords, the
detailed diagnostic report gives further explanations.

335

side corridor sealing

court slope ratio

moisture in firewall

basement ventilation

footings

cracked stairs

cat-walk elements

shifted chimney-tops

roof structure

tiling & accessories

finishing & insulation

side corridor drip edge

x11

0.92

0.62

0.49

0.7

0.65

0.34

0.45

0.42

0.95

0.78

0.15

0.1

0.1

0.45

interdependence
protection role

x12
x13

0.65

0.35

0.22

0.68

0.77

0.85

0.05

0.05

0.05

0.76

0.89

0.75

0.18

0.85

0.76

0.86

0.66

0.25

0.62

0.88

0.05

0.65

0.15

0.95

0.99

0.96

0.86

0.95

energetic performance
accessibility

x14
x15

0.11

0.05

0.05

0.86

0.77

0.78

0.02

0.02

0.05

0.66

0.15

0.15

0.99

0.05

0.21

0.95

0.95

0.16

0.98

0.22

0.9

0.67

0.35

0.55

0.28

0.68

0.86

0.95

hygienic& aesthetic aspects x16

0.16

0.8

0.65

0.9

0.84

0.77

0.63

0.3

0.95

0.2

0.19

0.05

0.95

0.78

x1

0.82

0.55

0.51

0.69

0.68

0.62

0.54

0.46

0.8

0.65

0.5

0.5

0.5

0.52

Financial Aspects

estimated cost

x21

0.84

0.38

0.27

0.54

0.1

0.86

0.27

0.14

0.64

0.78

0.65

0.24

0.89

0.26

Local Government support


schedulable expenses

x22
x23

0.1

0.09

0.64

0.36

0.06

0.4

0.35

0.38

0.82

0.59

0.46

0.37

0.85

0.38

0.93

0.93

0.96

0.15

0.08

0.23

0.11

0.26

0.16

0.25

0.8

0.85

0.85

0.73

value improvement effects

x24

0.74

0.64

0.55

0.72

0.19

0.77

0.63

0.58

0.72

0.78

0.68

0.54

0.9

0.66

x2

0.77

0.53

0.43

0.41

0.15

0.55

0.37

0.37

0.52

0.57

0.52

0.42

0.71

0.42

owners' priority

x31

0.16

0.28

0.15

0.1

0.28

0.34

0.21

0.38

0.77

0.57

0.48

0.16

0.76

0.28

visibility

x32

0.26

0.31

0.44

0.09

0.23

0.42

0.74

0.69

0.94

0.74

0.78

0.87

0.87

0.76

x3

0.13

0.13

0.12

0.12

0.13

0.13

0.19

0.13

0.64

0.19

0.25

0.37

0.59

0.23

0.38

0.27

0.23

0.28

0.22

0.29

0.24

0.21

0.38

0.31

0.26

0.25

0.33

0.24

weighted result

firewall edges tinning

inter-floor slab control


Importance of Intervention

danger

Subjective
Factors

Table 3: Evaluation of construction failures (section, rounded-off values)

As a result, the current study discloses the range of listed repairs (the defuzzification step is
omissible in this case).
Whilst the discussed project was in process, the owners community had the damaged
chimney repaired, since an extra support was available from the Local Government. Our
assessment also justifies this intervention; therefore it may prove the communitys view
correct.
In a further evaluation of the study was provided to the owners community and their joint
representative. After a short discussion at the annual meeting of the community, the list was
accepted and a schedule of overall maintenance procedure was ordered based on this
analysis.
The results of analysis underline the importance of the faade insulation procedure.
However this statement surprised the community, the priority of this intervention is justifiable:
the court and street faade insulation and finishing can be executed independently from
other failures, and gives saving options in heating expenses the extra savings may help in
organizing faster and better maintenance procedure.

336

7. Conclusions and Future Work


In summary it can be stated that that the results of calculations correlate to the former
assumptions. The utilization of linguistic variables supported the evaluation of nonmeasurable (e.g. aesthetic) and uncertain (e.g. value improvement) values. The
application of weighted relevance aggregators in the reducing phase also maintained the
professional aspects of the evaluation. The unique hierarchical construction of fuzzy
signature structure enhanced the adequacy of the overall evaluation.
The complexity of the building (different structural and sub-structural components, spatial
object with complicated relation to the users and the surroundings, etc.) required more
complex analyses. That is why it is necessary to increase the number of attributes and to
create more precise linguistic variables. To avoid the confusion in the system, in the process
of the enlarging structure, it is advisable to create further sub-trees (sub-sub-trees).
The developed decision support tool may take the intermittently determined aspects of the
owners community. Therefore the application of controllable relevance weight on the parent
nodes has to be examined.

8. Acknowledgements
The author wishes to record his gratitude to Lszl T. Kczy, Attila Koppny and Gyrgy
Alfldi for their advices and professional assistance during each phase of the project.
The research was supported by by Szchenyi Istvn University Main Research Direction
Grant and TMOP 4.2.2/B-10/1-2010-0010 at Szchenyi Istvn University, Gyr.

References
Zadeh L A (1965) Fuzzy Sets Information and Control: 338-353.
Goguen J A (1967) L-Fuzzy Sets Journal of Mathematical Analysis and Applications, 18:
154-174.
Kczy L T (1980) Vector Valued Fuzzy Sets BUSEFAL, Toulouse: 41-57
Kczy L T et al. (1999) Fuzzy Signatures Proceedings of EUROFUSEC-SIC'99, Budapest:
210-217
Wong K W et al. (2003) Hierarchial Fuzzy Signature Structure for Complex Structured Data
Proceedings of the International Symposium on Computational Intelligence and Intelligent
Informatics, Nabeul, Tunisia: 105-109
Szaradics I (2007) Adaptability of Fuzzy Control Systems in Bridge Management (M.Sc
thesis), Gyr

337

Agrdy Gy (2008) Fuzzy Logic Techniques in Bridge Management Systems Acta Technica
Jaurinensis 1:49-60
Molnrka G I (2010) Fuzzy Expert System as a Decision Support Tool in the Visual
Examination Process in Building Diagnostics CIB 2010 World Congress, Manchester
Mendis et al. (2006) Generalised Weighted Relevance Aggregation Operators for
Hierarchical Fuzzy Signatures Proceedings of the International Conference on
Computational Intelligence for Modelling, Control and Automation (CIMCA 2006), Sydney
Mamdani et al. (1975) An Experiment in linguistic variables with a fuzzy logic controller,
International Journal of Man Machine Studies 7: 1-13
Tams K and Kczy L (2007) Mamdani-type Inference in Fuzzy Signature Based Rule
Bases, 8th International Symposium of Hungarian Researchers on Computational
Intelligence and Informatics, Budapest: 513-525
Csizmady A et al. (2005) The long-run apartment conception of Budapest and medium-term
apartment program (appendix) (in Hungarian), Studio Metropolitana Press
Aczl G and Gutai B (2006) Social effects of the urban rehabilitation of Mid-Francis Town (in
Hungarian), Vrosfejleszts

338

339

Making use of knowledge on the construction site


Mats Persson1
Making use of knowledge on the construction site
Mistakes during the construction phase are very costly. Avoiding mistakes on the
construction site and facilitating an efficient construction flow is recommended by many
researches as a way of reducing construction costs. One way of dealing with this issue is by
finding flaws and errors during the design phase. As buildings are increasingly complex with
installation systems and demands for energy efficiency there is also an increasing demand
for more knowledgeable personnel on the construction site. The construction personnel
must comprehend how issues such as energy transfer, moist transfer, air-tightness, acoustic
property, water protection etcetera is accomplished with efficient logistics, often in a lean
construction environment. The different manufacturers and research generate much
knowledge. In Sweden many attempts to accomplish systems for lessons learned and
experience feedback have stranded due to the complex nature of the whole issue.
Construction knowledge containers in the form of web-sites emerge both as company
property and publically available sources.
This research investigates how the construction firms use knowledge management to be
effective and competitive on the market. Through interviews and observations data has
been collected to describe the strategy of Swedens three largest construction firms use
knowledge management. Additionally a large regional construction firm and a smaller
construction firm have been studied. Particular focus is on the construction site and how the
workers on the construction sites are involved in the planning of work execution and how
knowledge is made available in this process and how this influences the motivation and
learning of the site organisation.
Keywords: Knowledge management, work preparation, organising information.

1. Lack of knowledge lead to mistakes


Studies of the effects of flaws and errors in the Swedish construction process indicate that
these accounts for some 6% of the total production costs and that about 10% of working
time is spent on correcting errors and reworking what has been done (Josephson &
Hammarlund 1999). Portions of the errors were caused by deficiencies in the design work;
such deficiencies include shortcomings in the knowledge available to those engaged in
production. A considerable proportion of the errors can also be traced to difficulties caused

Associate Professor; Construction Science; Malm University; 20506 Malm;


mats.persson@mah.se.

340

by vagueness or imprecision in the instructions provided by the design team (Josephson &
Saukkorpi 2005).
Construction firms are expected to conduct work at the construction site in accordance with
agreed-upon drawings and specifications. The client expects this to be done in a
professional manner, even if this is not explicitly expressed in the contract. The
specifications and the contract are normally based on national standard reference
frameworks. Basic workmanship and knowledge of the regulations applicable to building and
construction work are essential pre-conditions for performing the work in accordance with
the contract.

1.1 The knowledge situation on site


Those in charge of work at the site and others engaged in the practicalities of a construction
project need adequate knowledge in order to carry out their work properly; moreover, they
need to continuously update their working knowledge to keep abreast of the latest
technologies (Persson & Bergh 2006). Typically, operatives on construction sites will receive
at most some 4 hours of training a year, in contrast to their supervisors, who undergo about
40 hours of training a year. The education obtained in upper secondary school remains the
most important component in the training of the majority of construction workers. When new
methods and materials are developed, new knowledge is needed. In order to acquire the
information needed at a construction site, the personnel (both management and operatives)
should be provided with relevant information and be motivated to learn and generate such
knowledge themselves (Persson & Bergh 2004, 2006).
Designers base their specifications on standard reference works and directions from
suppliers, whereas site operatives (i.e., construction workers, craftsmen, etc.) almost never
have direct access to information sources of this type. Any contact they do have with these
sources is usually superficial, such as an introduction to such matters in upper secondary
school (Persson & Bergh 2004). The individuals knowledge, then, is scarcely renewed
although the standard reference framework may be updated continually. Knowledge
concerning a task that has been completed can be of genuine help at a later time (positive
feedback) and may result in a new and more effective approach to the task (Persson 2006).
In an effort to gain an understanding of how various tasks are actually performed by those
who carry them out, 41 cases of task performance were studied (Persson & Bergh 2006).
Compared a generic process model the results revealed that flows of information of the
following types were usually absent:

Information from a standard reference work being made available to the site
operatives,

Information from relevant legislation and building codes being made available to the
site operatives,

341

Information about labour safety regulations being made available to the site
operatives, and

Further education being provided for the site operatives.

1.2 Management of knowledge on site


The knowledge management of site operatives tends to be very much neglected (Larsson et
al. 2005). As employment is in many cases contract/project based, many employers are not
willing to invest in further training for the workers. This is further magnified by the nature of
construction, with many specialised subcontractors constituting a temporary organisation on
site (Persson 2006). Before starting any work, the site operatives and the site management
usually discuss the planning and execution of the work (Persson & Bergh 2003). Although
this could in principle lead to optimising of plans, sadly, the lack of adequate knowledge on
the part of both workers and management could undermine efforts in this direction.
According to project managers who were interviewed in a project performed in Uganda, the
most important steps in improving productivity involve eliminating incompetence among
supervisors and addressing the lack of knowledge and skills on the part of many workers
(Alinaitwe 2006: see appendix III p 10).
The present system of knowledge management for the on-site personnel of construction
companies (operatives, management, and supervisors) can be characterised by the
following statements (Persson & Hansson 2008):

The large numbers of errors occurring at construction sites (and the considerable
costs that result) appear to be largely due to insufficient knowledge transfer on the
part of the personnel involved.

Information obtained from clients, designers, suppliers, and the contractor that could
potentially further the knowledge development of the on-site personnel appears not
to be well adapted to this purpose, or to be only partially suitable for it.

A management function (process) supporting the system for knowledge development


appears to be either poorly developed or missing entirely.

The flow of information to personnel at construction sites concerning how the tasks at hand
can best be carried out is highly important for the development of knowledge of work
procedures generally. With better knowledge of this sort, errors can be minimised or
eliminated.

1.3 Aim, objectives, and methods


The aim of this paper is to investigate typical features of knowledge management systems
for construction sites of both large and smaller construction firms and the construction
sector.

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2. Knowledge management system as support to the construction


site
The knowledge transfer that takes place in a construction firm should be supported by a
capable quality management system, as well as by the systems for cost estimating, time
scheduling, and labour safety. The site operatives should possess sufficient knowledge to be
able to demonstrate good workmanship, and to make effective use of contract documents,
drawings, and specifications as the starting point for their work. They should also have the
support of the site management and the firms overall management system, being enabled
to draw on lessons learned and knowledge accumulated.
The task of the knowledge management system is to direct, enhance, and coordinate
knowledge development in the firm, using the relevant subsystems and ensuring that the
knowledge needed to carry out the construction work is made readily available. A clear
objective of the knowledge management system is to develop the knowledge of the staff in
such a way that the conditions of each and every contract will be met and clients
requirements will be satisfied in an effective and professional way. Most construction firms
are lacking effective approach to collecting and storing knowledge within the organisation,
placing little emphasis on developing the competence of workers, however the attitude is
slowly changing. The large numbers of errors made in construction work and the virtual lack
of further training suggest that knowledge management, in whatever form it may be present,
usually does not function well.
Individual site operatives should continually acquire new knowledge so as to maintain a
satisfactory level of workmanship. A major part of the knowledge site operatives need to
perform their tasks is obtained during their initial professional training and apprenticeship.
Formal training provided after that is usually very limited. To be well prepared for the tasks
they will perform, workers require ready access to further sources of knowledge, both
general and project-specific. The following are certain important considerations pertaining to
this:

Drawings and specifications (in a form that the individual can readily comprehend)
pertaining to the work at hand should be provided.

A work execution plan (or detailed plan of the work to be done) should be made
known, at the latest by the time the work gets underway.

General descriptions of the work to be carried out should not only be accessible but
also be easy to read and understand.

There should be ample access to suppliers instructions on how to assemble and use
the materials and equipment involved.

The laws and regulations that apply should be clear to everyone.

343

Inspection routines should be clarified, and any checklist to be used for control
purposes should be handed out to everyone.

The construction site knowledge management systems studied indicated the following
problems for the individual site operative (Persson & Bergh 2004):

Site operatives seldom attend planning sessions and toolbox talks regarding how
work is to be carried out, even though they are the ones who perform the work.

Only in exceptional cases do site operatives have the opportunity to read the
specifications for the project they are involved in, or the relevant standard reference
work.

Site operatives rarely get to read the manufacturers instructions.

Drawings and specifications pertaining to work to be carried out often refer to


standard documents or reference works or to instructions provided by suppliers.
Such standard documents or reference works are usually not available at the work
site.

Construction workers are usually not trained to read standard documents or


reference works. Although these may contain potentially useful instructions on how
work is to be carried out, the instructions are often incomplete, out of date, or difficult
to assimilate. The target groups for such documents are often designers and
procurement personnel. Site operatives have little involvement with procurement and
thus have limited access to these documents, and so such documents contribute little
to the knowledge development of the workforce.

Only in exceptional cases is a site operative encouraged or given the opportunity to


reflect on, plan, or carry out the quality assurance work that is usually called for.

When looking at the resources used to do a project as according to Figure 1. The input to a
project is the individuals and organisation of the construction firm, technology and equipment
together with administrative procedures, checklists and templates. If these input resources
are not present in the construction firm it has to be acquired from external sources.

344

Figure 1: Company assets to accomplish a project.


The mismatch between subsystems and the lack of knowledge management can apply to
different levels in an organisation. If one aims at changing practices in an entire construction
firm, this must be undertaken at a variety of levels: individual site firm national
construction sector international construction sector (Persson 2006).

Figure 2: Levels for Knowledge management


The knowledge management of the sector and available information for personnel at
the site is not well organised to facilitate a transfer from explicit to implicit knowledge
according to the SECI model of Nonaka and Takeuchi (1995), as pictured in Figure 3.
The bottom of the figure shows the process of socialisation (tacit tacit); on the left
is externalisation (tacit explicit); at the top is combining of knowledge (explicit
explicit), and on the right side is the important process of internalisation (explicit
tacit). Enabling internalisation is the main objective of the development of
http://www.ByggAi.se.

345

Figure 3: The SECI model of knowledge transfer with the process of internalisation
highlighted (adapted from Nonaka & Takeuchi 1995)

3. Systems for improved knowledge management on construction


sites
3.1 General system improvement
Various problems have been outlined concerning mismatches between subsystems within
construction firms knowledge management systems. There are various approaches that aim
at suggesting, describing, or providing solutions to these problems. The Ratu file for planning
construction (www.rakennustieto.fi) is one such attempt. This file is intended to improve the
productivity, safety, and quality of construction work. Information regarding work procedures
and work planning is collected at construction sites and is made available; information about
safety in the workplace is provided, and quality assurance information is included. The file is
available in a Finnish-language version only. In Denmark, knowledge about construction is
gathered in a database (www.bygviden.dk). The program CITB Construction Skills is
concerned with educational matters that apply to the entire construction industry
(www.cskills.org).

3.2 Knowledge platform www.ByggAi.se


In Sweden an approach to making task-related information available as needed to those
engaged in construction work has been developed in cooperation with various construction
firms (Persson & Bergh 2006), the name of the system is ByggAi.se. The system has
general site-use-adapted working instructions developed to transfer knowledge on site in a
well-structured form. The basic information needed to carry out different types of work is
readily available, with a focus on the needs of managers and operatives at a construction
site. The working instructions contain information on personal safety, quality control,
requirements, suggested tools and supplementary fixtures/materials, and illustrations and
text describing suggested correct ways to carry out the work. The system makes information

346

available from health and safety systems, suppliers, standard reference works, and quality
systems.
The instructions were designed in this way for the following reasons: The working
instructions (WI) are general, meaning they can be used at most construction sites; this also
means that when they are used they need to be supplemented with information specific to
the project at hand. The WIs are site-use-adapted, meaning that they are adapted to the
information requirements of the personnel conducting the work on site rather than the needs
of purchasers, designers, etc.
During development a number of various methods for presentation of the WIs were
investigated. Video, cartoons and written instructions were considered. A combination of
pictures and short explanatory texts were chosen. The WIs are developed in PowerPoint
and distributed in pdf-format. A format suitable for printing was selected and the pictures in
the WIs turned out to serve as inspiration as they contain a lot of additional (surplus)
information about the site and situation for the work. A reason for choosing pdf-format was
the need to limit the size of files since at the time of development only few sites did have
high-speed Internet access. Today a new format or alternatively database is investigated.
The development of the WIs was done in close cooperation with major construction firms in
Sweden. The topics were selected among usual tasks on the construction site - work done
on most sites. However a variety of topics were selected to include civil work as well as
construction, rebuilding, demolition, HVAC and electrical installations, painting. Additionally
there are a number of informational WIs developed to test the possibility to distribute
information on working environment, protection against thefts, work in cold climate,
transports on site etc.
The ByggAi system is available on the Internet at www.ByggAi.se. At this stage the Internet
portal contains working instructions for 152 different tasks. For each set of instructions, the
following main headings are used: Requirements, Preparations, Quality control, and
Performance. The working instructions are available on the Internet portal in PDF format. A
CD in PowerPoint format containing the working instructions, together with a template for
those wanting to prepare their own working instructions, is also available.

3.3 The development of knowledge management in the Swedish construction


sector
In Sweden around 300,000 employees work in the construction sector, which contribute to
8% of GNP. Investments are considered to be relatively low with difficulties to start new
residential projects, however rebuilding is slowly increasing to the same level as new
construction. The use of construction management software is slowly increasing in Sweden.
On major construction sites the use of advanced software is spreading with utilisation of
software for Virtual Design and Construction. Medium size and smaller firms adopt the use
of iPads and smartphones on construction sites in order to improve the distribution of
information. This facilitates the distribution of information from the www.ByggAi.se web-site.

347

The ByggAi.se system has been well adopted by Swedish construction firms. The major
contractors have designed their own internal knowledge management systems for their
construction projects and link from their intranets to www.ByggAi.se. Smaller and mediumsized contractors use the system, as it is available on the Internet, or acquire the rights to
use the information in their companies. Smaller contractors often say they would never be
able to build such a system on their own. The system has recently been upgraded with a
book on work preparation and teaching material and template available on the web.
The number of visits to the website is increasing. The number of visits per day has risen
from 60 per day in 2009 to 149 in 2012. The first months of 2013 show a further increased
number, now the average is above 320 visits per day. Positive feedback has been received
from young engineers and also consultants such as architects. A couple of suggestions of
needed corrections and clarifications have also been received.
The Swedish Contractors Federation has identified the need to improve knowledge
management as a means to reduce errors and accidents on construction sites. They are
now publishing a Technical handbook for the construction site. This handbook is divided in
two parts. The first part contains information of what is well worth noticing when doing
certain types of works. The second part contains information that is well worth knowing when
doing construction project. The information of the handbook is connected to www.ByggAi.se
with references and illustrations. It is also connected with references to the latest
developments from research and development of techniques and tools. The handbook will
be updated every year

4. Discussion and Conclusions


Currently there appear to be serious problems in the flow of information needed to provide
adequate knowledge on how to perform tasks at construction sites. Inadequate knowledge
leads to production problems on the construction site. Often, the same solution found for a
problem concerning a given task at a particular site under a given set of conditions can also
be applied at another site, even though conditions there may be different. There is thus a
certain generality to the solutions suggested, which may basically apply throughout the
construction sector.
The system general site-use-adapted working instructions ByggAi.se thus addresses a
wide variety of problems. Although ByggAi.se provides solutions to many problems, there is
the question of the extent to which workers have access to it. Supervisory personnel at
construction sites should either make computer facilities available to the personnel or make
the instructions available to workers in a hard copy format.
Changing the way a given task is performed at construction sites within the entire
construction sector as part of a movement for continuous improvement calls for a wide and
open cooperation between those supplying information resources, contractors, clients, and
others involved in the construction process. This also fits well with the analysing of
construction activities being done in conjunction with lean construction.

348

From the SECI model it is important to acknowledge that the internalisation process is key.
This has also been the focus of the research carried out to establish a platform that enables
this process to start. The availability and ease-of-use factors are important, as is the need to
avoid overloading the platform with information; rather, the idea is to make information
readily available as it is needed (Just what you need when you need it). The second most
important factor in developing the platform is the combining process. This background work
has been given highest priority as it is in the control of the platform developer (the
internalisation process is practically beyond control).

References
Alinaitwe Mwanaki, H. (2006) Labour Productivity in the Building Industry. Lund - Sweden:
Division of Construction Management, Lund University.
Arbnor, I., and Bjerke, B. (1997) Methodology for creating business knowledge. Second
edition. London: Sage publications.
Birve, L., and Hansson, B. (2003) The Challenge! article (keynote speech) in Hansson, B.,
and Landin, A. (editors) Construction Economics and Organization, Proceedings of 3rd
Nordic Conference. Lund - Sweden: Division of Construction Management, Lund University.
ByggAi - Website of Site-Adapted Work Instructions Internet: http://www.ByggAi.se.
CIBW78 (1997) Working Commission W78 workshop Information Technology Support for
Construction Process Re-engineering, Cairns, Australia, July 9-11, 1997.
Josephson, P.-E., and Hammarlund, Y. (1999) The causes and costs of defects in
construction: a study of seven building projects, Automation in Construction, Vol. 8, Issue 6
pp 681-687.
Josephson, P.-E., and Saukkorpi, L. (2005) Slseri i byggprojekt - Behov av frndrat
synstt, FoU-vst Rapport 0507, Gteborg Sweden.
Larsson, S., Lundin, L-., Ruden, J., Tilly, H., and stlund, H. (2005) Satsa p
yrkesutbildning (translated: Invest in vocational training), Sydsvenska dagbladet, June 28,
2005.
Nonaka, I., and Takeuchi, H. (1995) The Knowledge-creating company, Oxford University
Press, New York.
Persson, M. (2006) Lessons Learned in Knowledge Management the case of construction.
ISRN LUTVDG/TVBP2006/1021--SE. Lund - Sweden: Division of Construction
Management, Lund University.
Persson, M., (2012) Planering och beredning i bygg- och anlggningsprojekt. (in Swedish).
Lund, Studentlitteratur, Sweden.

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Persson, M., and Bergh, . (2004) Frstudie - Upplrning med systematiska


arbetsinstruktioner. (in Swedish) ISRN LUTVDG/TVBP--04/3085--SE. Lund - Sweden:
Division of Construction Management, Lund University.
Persson, M., and Bergh, . (2006) Arbetsplatsanpassat lrande rapport frn
utvecklingsarbete, (in Swedish) ISRN LUTVDG/TVBP/2006/3087--SE. Lund - Sweden:
Division of Construction Management, Lund University.
Persson, M., and Hansson, B. (2008) Supplying Production Instruction Knowledge to the
Construction Sites. In: Conference proceedings: Transformation through construction, Joint
2008 CIB WO65/WO55 Symposium, Dubai, United Arab Emirates, 2008-11-14-17. Carter,
K., Ogunlana, S. & Kaka, A., eds. School of the Built Environment, Edinburgh: Heriot-Watt
University. pp. 158-159.

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Senior Lecturer; Faculty of Built Environment, University of NSW, Sydney, NSW 2052, Australia,
Email: Cynthia.wang@unsw.edu.au
351

Developing Self-Directed Learning Strategy for a


Construction Project Management Course
Cynthia Changxin Wang1
Abstract
Self-Directed Learning is generally regarded as an important skill throughout life and is
encouraged in the tertiary education. However, in the courses implemented with selfdirected learning approach, we also see students get off track, fail to make progress, or
complain not being assessed fairly. It is observed that many of our construction project
management students in the postgraduate program, especially those with working
experiences, have a strong desire for a self-directed and autonomous learning experience.
In this research, a self-directed learning strategy is adopted and developed over two years
in the teaching of a postgraduate course. Investigation and comparison of students learning
experience were conducted by using student surveys, and selected students were further
interviewed to gain the insights of their opinions and experiences in this course. Problems in
current course model were identified and ways to better support self-directed learning in the
course are suggested to improve the level of student satisfaction.
Keywords: Construction industry, education strategy, self-directed learning, SDL

1. Introduction
In the Master of Construction Project Management program in the Faculty of Built
Environment at the University of NSW, it is observed that the students experience and
maturity vary significantly, while some students need close guidance and supervision to
make progress in their study, many others wish to have more flexibility in their postgraduate
learning experience. A Self-Directed Learning (SDL) approach is adopted in one of the
courses in the program, aim to enrich students learning experience and increase students
satisfaction.
Self-directed learning (SDL) is a method of instruction used increasingly in an adult
education within tertiary institutions, and is often embraced as an important educational goal
throughout life (Bolhuis 2003).
SDL can be defined in terms of the amount of responsibility the learner accepted for his or
her own learning (Fisher, King et al. 2001). Many previous studies have proved the benefits
of self-directed learning such as saving training costs and increase employee effectiveness
in their jobs (Chien 2004), researchers also identified risks of developing SDL strategies and

----------------------------------------------------------------------------------------

Senior Lecturer; Faculty of Built Environment, University of NSW, Sydney, NSW 2052, Australia,
Email: Cynthia.wang@unsw.edu.au
352

provided recommendations. Self-directed learning projects are not for everyone and may
cause extreme anxiety and frustration in some students (Fisher, King et al. 2001). The SDL
approach may be less successful with a less mature audience that younger learners had
difficulty handling the greater freedom of a self-directed learning experience (Ellis 2007).
Based on the literature review findings, the SDL strategy was cautiously introduced to
students over two years in 2011 and 2012. It is used in the postgraduate course as students
are generally more mature and have some working experience. However the students
background and level of experience vary significantly. This study aims to determine the right
SDL strategy for students, and find a balance point between the flexibilities and
instructions/restrictions given to students in their course study.

2. Course Background
2.1 Pre-teaching Survey
The postgraduate course Construction Planning and Control is offered as a core for the
Masters of Construction Project Management program in the Faculty of Built Environment at
the University of New South Wales, Sydney, Australia.
The course introduces students to various programming and scheduling techniques suitable
for planning of long, medium and short-term projects and tasks. A very important strategy to
implement the SDL approach in the course is to conduct a pre-teaching survey. This is a
postgraduate course and according to the lecturers experience, there is a wide variety of
students background and experience. Some students may have worked in the project
planning area for many years and some may have never touched the field, and others can
be anything in between.
The pre-teaching survey serves two purposes:
1. To facilitate effective teaching and successful SDL experience. The survey
conducted at the beginning of the semester investigated the pre-knowledge level of
the students in the construction scheduling and planning area.
2. To determine whether the students background in 2011 and 2012 are similar and
therefore the end-of-term survey on their learning experience with SDL strategy are
comparable.
The first question is to ask if the students work is/was related to project planning and
scheduling. For both years, about of the class students believe their work is closely
related to this area, of the class think it is related but not much, the remaining of the
class think their work is not related to it at all.
The 2nd and 3rd questions ask students knowledge in two most basic skills in construction
planning calculation of critical path and use of MS Project as a scheduling software. The
responses are similar, 46% in 2011 and 48% in 2012 answered that they are aware of

353

critical path, but do not know how to calculate it or have forgotten most of it, and 40% in
2011 and 52% in 2012 know a little bit of MS Project, but think they need to learn more.
About 25-32% students do not know these two skills at all. Therefore calculating critical path
and using MS Project software are included in the teaching syllabus, though these are the
two skills usually have been covered in the undergraduate course. More detailed survery
results in 2011 were reported by Wang and Han (2012).
There are further two questions that asked students awareness and knowledge on
Primavera and other scheduling and planning software. The responses in 2011 and 2012
are very similar too. Very few, only 8-10% of the students have knowledge or skills on those
software. Primavera software is taught in the course as it is a widely used planning software
in construction industry.

2.2 Self-directed teaching and learning strategies used in the course


According to the pre-teaching survey results, the teaching strategies and SDL plan were
established for this course. The lecture material will be presented in an interesting and
challenging manner with the aim of actively engaging students in the learning process and
encouraging students to take responsibility for their own learning. Students are also
encouraged to practice their skills outside the class time. Guest lectures are organized to
present students with industrial case studies, and to provide students an opportunity to gain
new experiences. Question and discussion sessions with the industrial people will allow
students to relate theory to practice. Other self-directed teaching and learning approaches
used in this course include:
1. All the lecture materials, including presentation slides, reading text, tutorial sheets
and solutions were put on the online system of Blackboard. To facilitate students to
explore a particular learning topic more, there were extra web links and reading
materials and tutorial questions and solutions in Blackboard. These materials were
marked optional and students have the flexibility to read and do it according to their
own interest and need. Therefore students can select their own reading material, and
explore beyond the basic requirement of the course.
2. A real industry project was adopted as the major assignment project. The
assignment project requires students to use the scheduling techniques developed in
the course of the study, to solve a problem using a similar approach used in the
industry. Industry guest lecturer is invited to brief students about the project. Students
are asked to form their own groups to work on the project. Establishing their own
collaborative group is part of the SDL approach. Students are encouraged to
communicate with their peers and form a group with various skill strength to produce
high quality work.
3. As identified in the literature, peer assessment is also part of SDL experience.
Therefore students are allowed to use a peer assessment form to grade themselves
against their group mates in contributing to the group assignment. The lecturer then

354

used their peer assessment marks combined with their group mark to calculate
individual mark.
4. The 3 hour teaching block is arranged as 2 hour lecture and 1 hour tutorial. It is
compulsory to hand in the tutorial work at the end of the class for assessment
purpose. Due to the different level of pre-knowledge of students, additional tutorial
questions and solutions are provided online to give students flexibility to practice
more and at their own time. Additional consultation time is also allocated each week
to give students assistance outside of the class.
5. Computer lab sessions are arranged according to the pre-teaching survey. Both MS
Project and Primavera are taught in the lab sessions. Several students who are
expert users of the software completed the tasks in a very short time in the lab
sessions and provided support and help to others. Tutors extended the lab sessions
to support less capable students. Software manuals and additional lab sheets are
provided to students for them to explore more on the software.

3. Evaluating the Self-Directed Learning and Teaching Strategies


3.1 Survey design
Many previous studies used questionnaires to collect feedbacks from students and evaluate
the outcomes of students self-directed learning (Zhang, Zeng et al. (2011) and (Victori
2007). The questionnaire comprises both Likert-scale type questions as well as semi-open
questions. Stewart (2007) designed a questionnaire to evaluate the SDL readiness of final
year civil engineering students at Griffith University, Gold Coast, Australia.
In this research, questionnaire surveys are also used to evaluate the SDL strategies adopted
in the course. The survey was conducted at the end of the semester in 2011 and 2012, and
it is to evaluate the teaching model and SDL strategies used in this course, and investigate
students SDL ability and students satisfaction with the SDL strategies used in the course.
34 students in 2011 and 45 students in 2012 participated in the survey, and two students
from each year are further interviewed to get their feedback on the SDL experience.
Altogether there are 22 survey questions with a Likert scale in the survey. Questions are
grouped in different areas of teaching and learning and they are reported below.

3.2 Students SDL ability


There are five questions in the survey are related to students SDL ability, and the response
are summarized in Figure 1.

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Question: I regularly learn things on my


own outside of class.
25
20

2012

2011

21

15
10
8

0
Strongly
Agree

Agree

Neutral Disagree Strongly


Disagree

(a) Question 1: I regularly learn things on my own outside of class

Question: I am good at finding the right


resources to help me to learn.
20
19

2012

2011

15
10
8

6
1

0
Strongly
Agree

Agree

Neutral Disagree Strongly


Disagree

(b) Question 2: I am good at finding the right resources to help me to learn


Question: I usually set my own goals
for what I learn.
25
20

2012

2011

20
15
10
5

7
5

0
Strongly
Agree

Agree

Neutral Disagree Strongly


Disagree

(c) Question 3: I usually set my own goals for what I learn

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Question: I can usually achieve my learning goals


without to rely on other prople's supervision.

25

2011

20

2012

20
15
10
5

7
4

0
Strongly
Agree

Agree

Neutral Disagree Strongly


Disagree

(d) Question 4: I can usually achieve my learning goals without having to rely
on other peoples supervision
Question: I view self-directed learning
based on my own initiative as very
important for success in school and in
my future career
20
15
10

17

11

5
4

0
Strongly
Agree

Agree

Neutral Disagree Strongly


Disagree

(e) Question 5: I view SDL based on my own initiative as very important for
success in school and in my future career
Figure 1. Comparison of 2011 and 2012 survey responses on students SDL ability
The response given in Figure 1 shows that the students responses in 2011 and 2012 are
very similar. Generally about 75% of the students are very confident about their self-directed
learning ability and view themselves as good self-directed learners. This means students are
comfortable with the SDL ability required in this course, and they are not stressed by the
choices and flexibility provided to them.

3.3 Teaching and learning resources


There are a wide range of learning materials provided in the course, and the survey
comprises two questions to obtain students feedback on learning materials and the outcome
is in Figure 2. While over 80% students think they can get adequate information and

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materials from the lecturer-provided resources, 55% of the students wish more learning
resources would be provided. Further interview with the students indicate that the
assignment project is the main task that they feel they are in need of more material. The
intention of the lecturer is to challenge students to search necessary material themselves, as
this is an important part of SDL ability. The students feedback reflect that they believe there
are adequate material for them to complete the assignment, but they wish more material are
available for them to complete the assignment with high standard. They students feel they
had to spend too much time in searching additional material by themselves.
Question: I can get adequate
information and materials from the text
book and online teaching resources to
help me to learn and/or to make up a
missed class.
25

2012

20

2011

21

15
10
5

0
Strongly
Agree

Agree

Neutral Disagree Strongly


Disagree

(a) Question: I can get adequate information/materials to help me to learn

Question: I wish more learning


materials and more resources are
provided by the instructor rather than
searching them by myself.
14
12
12

10

11

8
6

4
4

0
Strongly
Agree

Agree

Neutral Disagree Strongly


Disagree

(b) Question: I wish more learning materials are provided rather than searching by
myself
Figure 2. Students feedback on the provided teaching resources

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3.4 Lecturer and tutors support


Self-directed learning should be adequately supported and guided by teaching staff. About
the support from the lecturer and tutors, the students feedback are given in Figure 3.

Question: I can get enough support and


help from the instructor to help me to
understand the course content.
20

2012

2011

15
15

16

10
5
3

0
Strongly Agree
Agree

Neutral Disagree Strongly


Disagree

(a) Question: I can get enough support and help

Question: I received enough


information, instructions and help to
finish the computer lab tasks.
12
11

2012

2011

11

8
7
4

5
0

0
Strongly
Agree

Agree

Neutral Disagree Strongly


Disagree

(b) I received enough information/instructions and help in the lab


Figure 3. Students feedback on lectures and tutors support in the course
An obvious difference can be seen from the students response in 2011 and 2012. In 2011,
generally all students think they can get enough support to understand the course content. In
2012, there are 6 students who think that the instructors didnt provide enough support and
the other 12 students are not sure whether they have got enough support or not. When
asked about the lab sessions, more students in 2012 believe that they didnt receive
sufficient help and support from the staff. This response is in line with the fact that in 2012,
more flexibility is given to students and less spoon-feeding style help is provided. Another

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factor that has influenced the responses is that the requirement of using Primavera software
in 2012 has increased.

3.5 Collaboration and Peer support


About the collaboration and peer support experience in the course, students feedback are
given in Figure 4. Most students are very positive about their peer learning experience,
however, a few students have disagreed as they do not believe they learnt much from peers.
The peer assessment method also was regarded by over 40% students as not necessary.

Question: I like the freedom to set up


my own teams for assessment tasks in
this course

20

18

15
10

2012

2011

11

5
1

0
Strongly
Agree

Agree

Neutral Disagree Strongly


Disagree

(a) Question: I like the freedom to set up my team for assessment tasks in this course

25

Question: I learn from the collaboration


experience with other students through
tutorial and assignment project.

2012

2011

20
20
15
10
5

8
3

0
Strongly
Agree

Agree

Neutral Disagree Strongly


Disagree

(b) Question: I learn from the collaboration experience with other students through
tutorial and assignment project
Figure 4. Students response on collaboration and peer support
The responses from students on collaboration and peer support are very similar in 2011 and
2012. The approach used in both years are similar. The only difference is in 2012, up to 4
students can choose to be in a group to complete their assignment project, while in 2011,
only 2-3 students are allowed to be in one group. The increase of the group size didnt show
negative impact on the students learning experience.

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3.6 Overall satisfaction on self-directed learning strategy


The increased use of online teaching and lab-based learning has facilitated SDL strategy to
be used in this course. This study found that our postgraduate students are quite capable
self-directed learners, and they are confident about their own self-directed learning
capability. Figure 5 shows the students response to their overall capability in SDL strategy in
2012 (This survey question was not included in 2011 survey). The postgraduate students are
from a wide variety of background and experience, the SDL strategies in this course aim to
provide possibilities for them to learn at different pace, focus more on different area, and
support each other.
Based on the survey results in 2011, which indicated general support of using SDL strategy
in this course, more flexibility and less instruction were given in 2012 in order to increase the
level of self-directed learning. From the above sections, it is obvious that although students
are generally supportive in using the SDL strategy in the course, more students indicated in
the survey that they expect more resources and support provided to them. The overall
satisfaction of the SDL is about 50%, with about 40% are neutral and 10% students are not
satisfied with the SDL strategy (Figure 6).

Figure 5. Students overall confidence of their own self-directed learning ability

Figure 6. Overall satisfaction on the self-directed learning opportunity in this


course

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4. DISCUSSION AND CONCLUSIONS


The greatest challenge of successful implementation of SDL strategies is how to balance
between the instructions given in lectures and the freedom of SDL to provide satisfactory
learning outcome. To decide the right balance point, more flexibility and less
instruction/guidance were given to 2012 students based on the overall supportive response
to SDL strategies from 2011 students. The responses from students are mixed in regard to
provided learning materials, instructors support, and the flexibility offered by the current SDL
approach. Based on the survey findings, the following are proposed to improve the SDL
strategies in the postgraduate teaching:
1. Due to the wide range of postgraduate students background and experience, preteaching survey is always helpful in determining appropriate teaching contents,
setting the difficulty level and establishing the SDL strategies for the course. The preteaching surveys in 2011 and 2012 have indicated similar students background and
distribution in industry experience and pre-knowledge related to the course.
2. Most of the postgraduate students see themselves as capable self-directed learners,
but the level of support they need varies. Based on the 2011 survey results, a more
flexible teaching model is adopted in 2012, e.g., more allocated consultation time and
optional after-class exercises, less restrictions on the methods of completing
assignment project, less instructions on how to complete lab tutorial tasks, etc. With
this change, it is found that some students are not satisfied with the reduced support
from instructors. Individual or small group consultations are welcome by students but
mostly they are used by students who have great difficulty in completing compulsory
tasks rather than by capable students who are willing to explore more in the area. It
is suggested that bonus points to be used in future teaching to reward students who
learn beyond the basic requirement.
3. While some students expect more flexibility in choosing the topics and contents to fit
their personal goals, it is noted that some of them do not enjoy the process to explore
the topic area and searching for materials. It is suggested that more learning
resources be provided to students, therefore they can search within a boundary and
more likely to find the information they need in an efficient way. This is particularly
important to the small portion of the full-time (especially international) students who
have not worked in the industry, as they are usually confused when too many
choices are presented to them. In another aspect, it should be made clear to
students that one of the learning objectives for SDL is to enhance their skills in
searching and selecting additional and relevant information to complete a set task
successfully, and encourage them to develop their capability in this area.
4. The survey results in 2012 have indicated the flexibility given to students have gone
beyond desirable. The satisfaction reduced rather than increased, therefore it is
suggested that better defined topic area and clearer requirements for the tutorial
tasks and assignment project be given to future students. Although the capability to
search and identify the most appropriate material to complete a task is one of the

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important aspects of SDL, it is observed that many students feel it is too timeconsuming. This indicates that students need more guidance on obtaining relevant
material.
5. As a large portion of postgraduate students works or worked in the industry, many of
them have valuable experience. Over 80% of students appreciate the collaboration
experience in the group work, which provides them with opportunity to learn each
other. It is suggested that online discussions be established in the course as it could
facilitate students learning from peers. Ongoing web-based blogs and online
discussion/forum could also enhance students learning and promote deep learning.
After two years trial and error approach in adopting the SDL strategies in the postgraduate
course, it is expected that the balance point between flexibility and instructions are now
better defined and enacting the above suggestions will improve students satisfaction to the
course in 2013!

References
Bolhuis, S. (2003). Towards process-oriented teaching for self-directed lifelong learning: a
multidimensional perspective. Learning and Instruction,Vol 13, pp 327-347.
Chien, M. (2004). The relationship between self-directed learning readiness and
organisational effectiveness. The Journal of American Academy of Business, March 285288.
Ellis, H.. (2007). An assessment of a self-directed learning approach in a graduate web
application design and development course. IEEE Transactions on Education, Vol 50(1), pp
55-60.
Fisher, M., King, J., and Tague, G. (2001). Development of a self-directed learning readiness
scale for nursing education. Nurse Education Today, 21, pp 516-525.
Wang, C., and Han, J. (2012), Supporting students self-directed learning in a construction
management postgraduate course. Proceedings of the 37th AUBEA International
Conference, 4-6th, July 2012, Sydney, Australia, pp 200-211.

363

A Sustainable Urban Collaboration Hub SUCH


Vino Tarandi1
Abstract
The challenge nationally and internationally, is to develop sustainable buildings and cities.
To do that requires continuous information about the real estate and city properties. The information needs to be collected, stored, processed, integrated, extracted, visualized and interpreted. The proposal of this paper, the Sustainable Urban Collaboration Hub, SUCH, is
based on the experience and results from the BIM Collaboration Hub and the research in
the EU project InPro. It is expanding the scope of both CIC, Computer Integrated Construction, and BIM by defining the architecture and concepts of the virtual world. The development of SUCH is taking place at KTH in Stockholm, Sweden.
With projects becoming more and more complex, and the focus changing from files to a multitude of objects, a need for BIM repositories or BIM servers will become a necessity for the
ability to manage changes and consolidations/synchronizations of heterogeneous applications. In addition to heterogeneous applications the support of heterogeneous data models
will be an additional requirement as the scope of the information management expands from
the individual building to groups of buildings and also to the infrastructure and civil works in
cities.
A BIM standard like IFC can manage snap-shots of the information, but to manage the
whole life cycle, there is a need for a standard like PLCS, Product Life Cycle Support, which
supports some critical business needs faced by companies as they seek to implement
Product Lifecycle Management (PLM) and other broad enterprise-based initiatives.
SUCH will extend the application of BIM to city blocks, cities and infrastructure. These domains have never had any sustainable support for data models and tools.
Keywords: BIM repository, IFC, PLCS, through life support, sustainability

1. Introduction
The challenge nationally and internationally, is to develop sustainable buildings and cities.
To do that requires continuous information about the real estate and city properties. This information is of many kinds, such as material properties, energy consumption, concentration
of air pollutants and flows of people. The information needs to be collected, stored, pro-

Professor; Department of Real Estate and Construction Management, IT in Construction; The Royal
Institute of Technology (KTH); Brinellvgen 1, 100 44 Stockholm, Sweden; vaino.tarandi@abe.kth.se

364

cessed, integrated, extracted, visualized and interpreted, something that requires advanced
information systems and deep domain knowledge.
BIM, Building Information Modelling, represents an important step in the development. What
is still missing is the life-cycle perspective, i.e. the endurance dimension combined with BIM.
To date, BIM has mainly addressed buildings, but in the future there is a need for additional
structured and open information related to infrastructure, roads and other constructions necessary for modelling real estates and cities. To monitor and control the real estates and
characteristics of cities over time requires new and more sophisticated information systems
that combine the benefits of BIM with the value of life cycle assessments (from requirements, planning, production, operation, and finally to recovery).
This paper relates to development and commercialization of such a system/platform, which
extends the application of BIM to city blocks, cities and infrastructure. These domains have
never had any sustainable support for data models and tools.
The goal is to develop a scalable platform that consists of a unique and effective web-based
tool / system that supports monitoring, support and control of planning, construction, operation and management, and recycling of buildings and entire cities. Information is integrated,
shared and analysed; ideas and proposals are developed, presented and communicated
through the city planning processes.
To enable a long-term working collaboration, between the various stakeholders of the city,
both integration and consolidation of information models in a common information platform is
needed. BIM repository, BIM server, and Model Server are some of the names on this
emerging concept.

2. BIM repositories
IFC, and many other exchange standards, can only handle snapshots of the information. In
order to manage the entire life cycle of a construction, there is a need for standards like
PLCS, Product Life Cycle Support (ISO 10303-239, 2012). The BIM Servers like the BIM
Collaboration Hub (Tarandi, 2011) can secure collaboration both within the organization, as
well as within Extended and Virtual Enterprises with their various actors involved. The PLCS
standard, Figure 1, will enable linking of product information to maintenance information
throughout the product lifecycle, called Through Life Support (TLS), which is applied in other
industries, e.g. in the aerospace industry.

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Product

Function

System

Location

Requirement

Product-as-realized

Item
Product/Part

Verification
Document

Physical
Risk

Zone
Engineering Change Order

Support System

Work Request

Engineering Change
Proposal
Condition
Scheme

State Definition
State Observed
Resource
Tools
Type of Person

Requirement

Managed Resource

Task
Type of Person
Definition

Concept
Figure 1:

Work Order

Design

Qualification

Development Production

Location

In-Service

Main Business Objects of the PLCS standard.

Now this is applicable also for the construction and real estate sector, as demonstrated in
the EU project InPro (Tarandi & Houbaux, 2010; Tarandi, 2011) by the implementation of the
BIM Collaboration Hub. For the construction sector TLS is a new approach and has few international and national implementations. Only a few platforms based on the open international standard PLCS are available today, and in these cases only limited support is utilized.
In the discussion of justification for BIM utilization, Jung and Joo (2011) compare two current
views on structuring information and processes in the construction industry Computer Integrated Construction, CIC, and BIM. They formulate a framework to capture characteristics of
different aspects for comparison of the business benefits of different solutions. Their findings
show that both these ways of looking on the tools and activities are converging and also being depending on the distinct characteristics of organizations and projects. The CIC view focuses on the integration of multiple dimensions, like 3D, time and cost. Without a common
data model as a base, it proves to be difficult. The same is valid for BIM, when it comes to
the need for a common data model. According to Jung and Joo (2011) there is no significant
difference between the concepts of CIC and BIM.
The proposal of this paper, the Sustainable Urban Collaboration Hub, SUCH, is based on
the experience and results from the BIM Collaboration Hub and the research in the EU project InPro. It is expanding the scope of both CIC and BIM by defining the architecture and
concepts of the virtual world, the Mirror World (Gelernter, 1992), where the objects representing building elements, spaces, and processes of the real world are the information carriers rather than the existing authoring and managements tools of todays industry. You will
look into a computer screen and see reality (Gelernter, 1992).

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Eastman et al. (2011) identify the common information repository the BIM server as one
promising emerging solution. They argue that the evolutionary change in the AEC field from
managing files to the managing of information objects has only begun to take place. With
projects becoming more and more complex, and the focus going from files to the multitude of
objects very management and granularity dependent a need for BIM repositories or BIM
servers will become a necessity for the ability to manage changes and consolidations/synchronizations of heterogeneous applications.
Eastman et al. (2011) add the transaction granularity and frequency on the project, building,
object, and attribute as fundamental for the configuration of BIM servers.
In addition to heterogeneous applications the support of heterogeneous data models will be
an additional requirement as the scope of the information management expands from the individual building to groups of buildings, and also the infrastructure and civil works in cities.
The requirements on a BIM repository, according to Eastman et al. (2011), include:

User access control

Representation of users associated with a project

Read, store, and write native data models

Read, store, and write open standard model data

Manage object instances and read, write and delete them

Support product libraries for incorporating product instances

Support storing product specifications and maintenance/service information

Store e-business data, for costs, suppliers, etc.

Provide model exchange capabilities for remote users, e.g. web access

Manage unstructured forms of communication

Based on the arguments for a BIM Collaboration Hub, by Tarandi and Houbaux (2010), and
Dumoulin, Benning, and Tulke (2011), the list can be extended by:

The complete object model

Aggregating models provided by different disciplines

Exporting and importing partial models

Managing workflows and changes

Exchanging information with the hub using a neutral exchange format, e.g. IFC

The limited integration of information and automation systems supported by BIM applications
of today are described in the CIB white paper on IDDS, Integrated Design & Delivery Solutions (Owen, 2009). To implement IDDS requires improvements in work processes, technologies and peoples capabilities to span the entire lifecycle of the building creation related
processes including environmental issues (Owen, 2009).

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3. The Sustainable Urban Collaboration Hub


The development of the Sustainable Urban Collaboration Hub, SUCH, see Figure 2, is now
on-going at the Royal Institute of Technology, KTH, in Stockholm, at the department of Project Communication. It is partly funded by Vinnova, the Swedish Governmental Agency for
Innovation Systems, in the program Sustainable Attractive Cities (Vinnova, 2012).

Sustainable Urban Collaboration Hub

Business processes

Information
systems
Portal

System A

System B

Information
modells

System C

System D

Train
Train
MateX
System
Mate

System E

Standardized interfaces

Information
Document
Mgmt System

SUCH data

Reference
database
City
Block
Building
Room
Road
.....

Figure 2:

The architecture of the Sustainable Urban Collaboration Hub, SUCH

A further development of the BIM Collaboration Hub for building design, production, operation and management to also include cities and infrastructure, supporting analyses, evaluations, and guidance towards sustainability goals will be the result. The different applications
and associated methodology will be productified and packaged by actors in society through
the access to relevant and valid life-cycle oriented information.
With a collaborative environment and developed methodologies, software support and defined information content, conditions are created for development of new services, see Figure 3, where the real world and the mirror world are related by e.g. sensors.
The base for SUCH is the result from the InPro project Open Information Environment for
Knowledge-based Collaborative Processes throughout the Lifecycle of a Building which
was a project within the 6th framework of the European Commission ending in November
2010 (Sebastian, 2011). One result of InPro was the BIM Collaboration Hub (Tarandi, 2011),
which was the platform for the model-based and collaborative work over the life cycle of the
construction, in InPro mainly buildings. The implementation of the BIM Collaboration Hub
was based on the model server Share-A-space from Eurostep (2012).

368

Environmental Classifications and Energy


Declarations
Real Estate Valuation
Integrated Building Performance Assessment

City planning
Design
Production

Road (road line)

Roadway

Figure 3:

Real
World

Property

Waste-pipe

Detail plan

Building

Sensor type X, serial no Y

Operation and Maintenance


Recycling

Question
Control
Act
.

Requirements
Real time values
Control values
.

Tenant=no 12

Room 1

Mirror
World

Window type Z, serial no A


Temperature Room 1=19 deg C
Energy consumption House A, 2012-02-02

Chemical X

Information in the Mirror World, with services for the Real World. (The
values of properties are examples only)

The different views on information models and their usage in the industry confirm that the
SUCH proposal is in line with them and fulfil most of the requirements. With design change
proposals and workflows related to the object model, an efficient platform can be built.
The BIM Collaboration Hub was based on the open BIM standard IFC 2x3 (buildingSMART,
2011), and PLCS, Product Life Cycle Support, ISO 10303-239 (ISO, 2012) an open exchange and sharing standard was added as the framework to support the life cycle related
information exchanges, not covered by IFC. In the InPro work, with all the key processes defined for early project phases, structured requirements, documents and information from
other data models than IFC needed support and linking to the building information. This
need to extend the scope of BIM has also been identified in the development of the IDDS
white paper, where it is described as the next step in the evolution (Owen, 2009). In the definition of the scope for SUCH, the need for extending the BIM model into support of blocks,
cities and infrastructures was evident.
The need for managing multiple heterogeneous data models was identified and the solution
was to continue with the work started in InPro. Multiple data models to map to one common
and neutral information model, PLCS, where the commonly agreed concepts are the targets.
These targets were in the BIM Collaboration Hub the concepts corresponding to the building
and spatial elements of the IFC data model, (buildingSMART, 2011).

369

3.1 Mappings from IFC data models to the BIM Collaboration Hub
The mapping of IFC to PLCS is one central function of the BIM Collaboration Hub. The typical IFC structure is shown in Figure 5 to the left. To the right is the corresponding high level
structure mapping to PLCS. In the mapping, all the object geometries are treated as individual files linked to the objects. In the IFC mapping, the files are self-consistent IFC files. Reference geometry is taken out of the files to give location and rotation to the individual object.

Figure 4:

Legend PLCS concepts

Project

Sites

Breakdown_element_usage
Classified as IfcRelAggregates
Buildings

Storeys

Spaces

Figure 5:

Typical IFC data exchange file structure and high level structure mapping

370

Figure 6:

High level mapping from IFC to PLCS/SAs

The concepts of IFC are mapped to corresponding generic concepts of PLCS, see Figure 6.
In the following figures, a number of important PLCS structures are illustrated for IFC model
examples. In Figure 7, a Wall with the identifier 231 has 2 versions v1 and v2. v1 exists in
the architecture design view, v2 exists in the architecture design and structural design views.
The relationships are ordered and have different meanings if they are between versions or
between views.

Figure 7:

Products product/version/view and relationships

Figure 8, illustrates how properties and documents are assigned to a product in the context
of a view. The version v1 of the wall 231 has the properties (height and length) in the Architecture Design view and has 3 thermal properties in the Thermal Design view. The version
v1 of the document YXZ is assigned to the version v1 of the wall 231 in the context Architecture Design. This document version has 2 digital_files (one in html format and one in pdf
format). Assembly relationships in PLCS are subtypes of view_definition_relationship, see
Figure 9. This enables the definition of an assembly in the context of a view.

371

Figure 8:

Products properties, documents

In this example, the version v1 of the Wall 231 is nested by the version v2 of the Opening
ABC in the Architecture Design view. If an effectivity is assigned on the assembly relationship, the validity of this structure can be controlled. It could be a proposed start date to indicate a proposal.

Figure 9:

Assembly / structure / breakdowns effectivity controlled

In Figure 10 and Figure 11 two examples of mapping between IFC and PLCS are shown.

Figure 10:

Mapping IFC to PLCS Wall with type definition

372

The first illustrates how the physical_breakdown_element, the type, and also the realized
product are related for a wall. In the second example the representation of a wall with an
opening is presented.

Figure 11:

Mapping IFC to PLCS Wall with window

3.2 Mapping from heterogeneous sources with different taxonomies/


ontologies
In Inpro the mapping was done between the IFC data model and the PLCS generic breakdown structures for zonal and physical breakdown elements. IfcSite, IfcBuilding, IfcBuildingStorey and IfcSpace are all mapped to zonal_breakdown elements. For another type of
construction, like roads with their specific spaces like lane spaces etc., the mappings can also be done to zonal_breakdown elements with their specific classifications attached. In the
PLCS data model these different object structures can then be linked using the
View_definition_relationship, classified for specific usages. In Figure 12 the mapping of a
new data model X to the PLCS data model is illustrated.

Figure 12:

Mapping of instances of data model X to PLCS and linking them

373

The instance example is then linked to an existing model object, Door, which can be automatically done if relationships or identities are associated with the imported data. Else, the
linkage can be done manually through data base interfaces or by using other tools.
The number of possible data models for the Sustainable Urban Collaboration Hub is large to
cover the area of interest. There are multiple overlapping data models for different phases of
the life-cycle of constructions. In Figure 13, IFC and a number of other data models illustrate
the possible extensions, overlaps and links between them. For each of them different exchange formats are used today.

Figure 13:

Integration of standards for buildings and infrastructure

IFC++ (Infra)

xxx

IFC

CityGML

Net-work
ISO 191xx

LandXML

The heterogeneous data models can be mapped to the common neutral through life supporting standard PLCS as illustrated by Figure 14.

Through Life Support - PLCS

Figure 14:

Integration of standards for infrastructure

All the concepts for the domain of interest must have a definition and name in PLCS, to be a
valid alternative for mapping. E.g. there must be concepts for roads, road-links, road-nodes
that are accepted by the users of the collaboration platform. Preferably this is based on existing open international standards. The concepts for the building domain are directly taken
from the IFC standard (buildingSMART, 2011).

4. Conclusion
This paper presents the Sustainable Urban Collaboration Hub, a development based on the
web-based Open ICT Platform, the BIM Collaboration Hub, from the InPro project. The architecture of the BIM Collaboration Hub with mapping of a generic data model to the through
life supporting open international standard PLCS, opens for the integration of multiple heterogeneous data models/standards to enable the integration of information from different
sources, phases and actors for the support of sustainable information for individual construction works and assemblies like cities.

374

The coming implementation will be done at KTH, Royal Institute of Technology, in Stockholm, Sweden. The platform will support multiple services, which will be defined and developed in cooperation with the construction industry.
One pre-requisite for implementing SUCH is to agree on common concepts for the domain
e.g. road, city block, and building, most of them to be taken from the IFC standard. Some potential problems and difficulties are lack of extensive classification of objects and properties,
poor versioning of objects, and limited use of change management in applications and in the
industry.

References
buildingSMART (2011) IFC 2x3, buildingSMART international,
<http://www.buildingsmart.com>
Dumoulin C, Benning P, Tulke J (2011) D28, Open Information Environment, InPro,
<http://www.inpro-project.eu/main.asp> (Accessed 2012-11-16)
Eastman C, et al. (2011) BIM Handbook, John Wiley & Sons, 2nd ed.
Eurostep (2012) Share-A-space, Solutions, Stockholm. <http://www.eurostep.com> (Accessed 2012-11-16)
Gelernter D (1992) Mirror Worlds, Oxford University Press.
ISO (2012) Product Life Cycle Support (ISO 10303-239).< http://www.plcs.org/plcslib/>
Owen R L (ed.) (2009) White Paper on IDDS Integrated Design and Delivery Solutions, Publication 328. C1B, Rotterdam, The Netherlands
Sebastian R (2011) Final activity report, InPro < http://www.inpro-project.eu/main.asp> (Accessed 2012-11-16)
Tarandi V, Houbaux P (2010) D20, Open Web-based ICT Platform, InPro <http://www.inproproject.eu/main.asp> (Accessed 2012-11-16)
Tarandi V (2011) The BIM collaboration hub - a model server based on IFC and PLCS for
virtual enterprise collaboration, Proceedings of the 28th Inter-national Conference of CIB
W78, Sophia Antipolis. <http://itc.scix.net/cgi-bin/works/Show?w78-2011-Paper-158>
Vinnova (2012) the Swedish Governmental Agency for Innovation Systems, Challengedriven Innovation: Sustainable Attractive Cities, Stockholm. <http://www.vinnova.se/en/Ouractivities/Challenge-driven-Innovation/> (Accessed 2012-11-16)
Jung Y, Joo M (2011) Building information modelling (BIM) framework for practical implementation, Automation in Construction 20, p126-133.

375

Rural Water Supply Projects and Sustainable


Development
Paulinus Woka Ihuah1, Iyenemi Ibimina Kakulu2
Abstract
The study reviews the sustainability issues that are associated with rural community water
provision and some of the challenges experienced in the in Niger Delta region of Nigeria
within the context of project benefits sustenance. Several rural communities in Nigeria
derive water supply through hand pump operated water supply wells. The sustainability of
this approach to water provision was assessed using a qualitative research methodology
and undertaking a comparative review of Micro-Projects Programme (MPP3) in Nigeria with
that of Volta Region Community Water Supply Programme (VRCWSP), in Ghana. The
findings reveal the absence of sustainability in the current approach and the paper
recommends that if community based hand pump operated rural water supply projects are
to be sustainable; the sustainability factors must be given full consideration in its design and
implementation. A post-project management approach is suggested which should be
effectively monitored, assessed, linked and integrated into the implementation and postoperational management of hand pumps water supply systems. The use of a community
based and community driven project-management options in the management of community
rural water supply is proposed as this remains a credible alternative over control by external
or government agencies.
Keywords: Sustainability, water-supply, hand-pumps, project management, project
benefit.

1. Introduction
This study reviews the sustainability issues using a project management approach in order
to provide a more sustainable strategy for managing hand pump operated water supply
projects. It assesses whether there is the need to adopt a dynamic process that will promote
sustainable management of a projects benefits. The rationale centres on the assertion that
community rural water supply consisting of hand pump operated shallow wells is considered
to be a suitable technology for water supply in low-income (rural) communities of Niger delta.
There are however several cases where they have fallen out of service within a limited

PGR Student, School of the Built Environment University of Salford, Greater Manchester, M5 4WT,

UK; p.w.ihuah1@edu.salford.ac.uk
2

Head, Department of Estate Management, Rivers State University of Science and Technology,

P.M.B. 5080, Port Harcourt, Nigeria, ibkakulu@hotmail.com

376

period after creation (Harvey and Reed, 2004). Most of these projects have been planned
and created without a strategy for long-term operations (Franks, 2006). Africa recorded a
45% rural water coverage in 2000 compared with 40% in 1990, leaving 237 million people
without water (WHO/UNICEF, 2000). Urban water coverage in Africa recorded at 85% in
2000, with 37 million urban dwellers not supplied with water. In Nigeria, the percentage of
rural water coverage in 2000 was 40% and urban 60% as compared to 37% rural and 83%
urban in 1999 (ADI, 2004). In this context, it is clear that rural communities are lagging
significantly behind urban areas in water provision. According to Lockwood, (2004), Harvey
and Reed, (2004) and Wood (1994), the hand pump is an appropriate technology because:
they are low cost; easy to operate and maintain; the financial implication to the community
and the donor is low; the recurrent costs are low; the financial responsibility for the on-going
O&M of water supply systems falls within the users community; .the technical skills, tools,
and spare parts required for the O&M is available; also, the availability of shallow
groundwater resources beneath the earth surfaces in the developing countries makes it a
most viable option for community rural water supply. However, other technology options
exist such as protected springs; hand pump equipped boreholes on wells; rain water
harvesting; hand-dug wells; gravity fed system and semi-scale pumped systems for rural
water supply.
According to Lockwood (2004), and Wood (1994) the set of assumptions in the choice of
hand pumps, is that it is the best low-cost measure for community water provision. It is
affordable; easy to maintain; an appropriate technology; readily available to the
communities; easy to construct and install; efficient and easy user friendly. The simpler the
technology, the less the Operation and Maintenance (O&M) requirements and the more
sustainable it is likely to be. However, as good as these assumptions are many hand pump
projects have failed to achieve the desired benefits. For example, in Sub-Saharan Africa,
countries like Ghana and Nigeria, hand pump water supply projects have rarely fulfilled the
intended purposes (Parry-Jones et al, 2001). Developing countries are littered with remains
of projects that died when donor funding ended The question is why do these projects fail or
get abandoned, and even become white elephants within the very poor communities that
desperately need them? Cusworth and Franks (1993) contend that the missing link is
seeing beyond the project implementation phases and to appreciate that the end result is not
the project but the assets created by the project when put into operation. Multi-year financial
planning is not usually provided for. Other authors contend that it is the wider institutional
issues that are not put in place or properly implemented and poor or lack of regular
preventive maintenance practices (Harvey and Reed, 2004, Parry-Jones et al, 2001). In
Nigeria, non-functional hand pump operated water supply projects are abundant. .There are
several reasons:
Who is responsible for the maintenance for the benefit of future generations after
project implementation and How will they be maintained;
What factors can obstruct or aid the sustenance of the alternative in order to curb
the threats of water-borne diseases in the community that are often associated with
unsafe drinking water resulting from the use of contaminated stream and rainwater
sources.
Communities perceive it as the responsibility of the donor to make provision for sustaining
the benefits of these water projects. It is felt that in communities where they are unable to,

377

make such provision, they should liaise with the local government or the community leaders
to develop strategies for its sustenance. This view has in the past generated communal
crises, political dichotomy, crime, corruption even in a case where the project requires
minimal maintenance. Therefore, the need to focus attention on sustaining these projects
and its benefits is just as crucial as the project itself. Sustaining the benefits of a project
involves the management of the scheme that are put in place by the project, which centres
on long-term investment and accumulation with the prime objective of providing opportunities
for the project beneficiaries and the owners of the assets created by the project (Franks,
2006, Cusworth and Franks, 1993)..

2. Sustainability Factors in Community based Hand Pump


Operated Water Supply Projects.
2.1 Sustainability and Sustainable Development Conceptualised
The World Commission on Environment and Development (WCED 1987, 8) defines
sustainable development as development which meets the needs of the present without
compromising the ability of future generations to meet their own needs. The concept of
sustainability at first relied on environmental phenomenon, but currently, it has gone beyond
the boundaries of environmental issues to include social, economic, political, and
development issues (Edum-Fotwe and Price, 2009). Understanding what constitutes
sustainable and unsustainable development is crucial in any project management and postconstruction management system. Hence, it would be sustainable development if it reduces
the disparities between the poor and the rich. In addition, Porritt (2000) in Lutzkendorf and
Lorenz (2005, 213) argue that for the achievement of sustainability, it is necessary to
measure it against a set of four system conditions such as:
Finite material (including fossil fuels) should not be extracted at faster rate than they
can be redeposit in the earths crust;
Artificial materials (including plastics) should not be produced at a faster rate than
they can be broken down by natural processes;
Biodiversity of the ecosystem should be maintained; whilst renewable resources
should only be consumed at a slower rate than they can be naturally replenished;
Human needs must be met in an equitable and efficient manner.
Cooper and Jones (2008) argue that development will be sustainable when attention is given
more to greater community engagement; deliberative forums to help people live more
sustainable lifestyles; investigating ways in which stakeholders can influence decisionmaking; new commitment to support education and training in sustainable development; and
response to key environmental issues. Therefore, while the concept of sustainable
development from literature is well known and widely used, there appears to be no common
understanding of it.

2.2 Policy support and Organisational Arrangements Factors


Policy development and implementation is essential to project sustainability and has led to a
high interest of voluntary organisations (NGOS), private sector and community based
organisations (CBOs) providing active services delivery in Africa (ADB, 2005, IIED, 2000).

378

Where there are no policies developed, every sector and actor will see the issues differently
and use different execution strategies that will cause disintegration. The level of politics is a
core issue to sustainability and the democratic system of a country must be one having the
total commitment to providing conducive atmosphere for the water supply project otherwise
the possibility of project failure is high (Parry-Jones et al, 2001). Policy formulation is multidimensional and dynamic in nature, which the actors supporting the low cost technologies
must be ready to adapt for the successful implementations of the projects. ADB (2005),
Harvey and Reed (2004), assert that institutions and personnel to drive policy
implementation; stakeholders that adhere to policy and strategy guidelines; a consistent
regulatory and legislative framework; and an adequate financial resources are necessary to
ensure sustainability. Again, the institutional and organisational set-up particularly the
maintenance strategies put in place which would guarantee the financial returns over the
expected project life span is equally vital. Management at the lowest appropriate level
requires the role of the local and national government, the private sector and nongovernmental organisation. Community Level Operation Maintenance has been
overwhelmed by the community management preference, which requires proactive
approaches (Colin, 1999). Although, this management strategy seems good, it appears that
there is need to accept decentralisation of maintenance approaches for effectiveness and
efficiency as highly centralised decision-making does not promote sustainability (Boydell
1999). As such, Anand (2007) suggest that the federal government should have the main
role of setting the policy and institutional framework which other sectors follow through
participatory democracy, but, sustenance of water supply through good governance is a
priority.

2.3 Technological Factors


The United Nations Development Programme (UNDP) and the World Bank initiatives in the
1970s on global/ interregional project laboratory testing and technological development of
hand pumps for rural community water supply indicate that technology might no longer be a
limiting issue to hand pump operated water supply project sustenance in the rural community
(Parry et al, 2001), and suggests that better sustenance of such projects and the related
local benefits can still be gained when the pumps are purchased offshore and delivered
through local participation. On the matter of availability of spare parts relating to hand pump
water project sustenance, it is a problem in most Africa countries because the quality,
availability, procurement and supply of these hand pump parts are challenging and at most
times, the project developers fail to consider the future consequences of these factors to the
project sustenance. Baumann (1994) argues that the purchase of hand pump parts should
be made to be economically feasible and viable. Locally manufactured spare parts should
have a strong linkage to the community market for better contact with the beneficiaries of a
project as in the case in Ghana, Nigeria and Tanzania (Woodhouse, 1999;).

2.4 Environmental Factors


Parry-Jones et al (2001) maintain that, the Sustainability of community based water supply
projects in the context of the environment is related to groundwater resources. Arlosoroff
(1987) estimated that an India mark II hand pump characteristically yields 12 litres of water

379

per minute which measures less than 6 cubic metres per day for eight hours of continuous
operation. Well siting and development, screen obstacle and chemical composition of the
water are fundamental environmental factors in community hand pump water supply project
and the successful sustenance of its benefits. In the context of sustainability and water
composition, the more saline the water, the more the metallic component of the hand pump
is subjected to corrosion syndromes. Anands (2007) suggests that coastal communities are
more vulnerable to salinity ingression. However, there is advancement towards using plastic
rising mains that help to prolong the life span of hand pump in aggressive water
environments. The odour and colour of the water are also important considerations.

2.5 Community Social Perceptions:


Community needs and priorities have become common factors why community water supply
projects fail because of their belief in the use of their natural water sources as a ready
alternative. This is a common cause of water supply project failures in Africa and particularly
Niger Delta in Nigeria where most of the area is covered by fresh and salt water.
Furthermore, gender diversity, which is on the global agenda, affects water provisions and
project request requires the involvement of all community groups irrespective of the gender
in the decision-making and management of the system. According to Hoffman (1992) there
is still gender discrimination for example, where men and women were trained on how to
maintain the hand pumps, the female input or efforts were not rewarded while the male were
rewarded for the same service rendered. Cleavers (1991) confirmed that while women were
members of a hand pump water project committee, all the tasks were performed only by
men. The study suggests that the committee set-up is not the case rather the changing
community leaders and at most times the traditional rulers influence the decision-making in
the community. UNICEF report in Nigeria (WELL, 2001) confirms that the most active group
in hand pump maintenance were the CDC that was democratically elected by the community
themselves. Parry-Jones et al., (2001) and Cleaver (1991) emphasize that one of the main
substances of community participation in project decision-making and implementation is to
stimulate a sense of ownership, which could increase the level of maintenance to hand
pump projects.

2.6 Economic/Financial Factor:


The economic/financial factors stem from capital costs and community contributions, water
tariff and real costs of maintenance. Harvey and Reed (2004), Parry-Jones et al. (2001),
Woodhouse (1999) suggest that, since the capital costs of hand pump operated water
supply projects are huge and the community or individual cannot afford it, the responsibility
should be left for the government, donors or NGOs. However, Parry-Jones et al (2001)
suggest that even though such concern should be carried by the project financier, the
community must prove commitment either in-cash or in-kind as it is through this commitment
that a community provide an organisational capacity to sustain it. An evaluation of a UNCDF
project in Guinea Bissau indicates that the failure of hand pump operated projects and other
projects was the failure to develop an appropriate strategy for operation and maintenance
(O&M) cost recovery at the community level which then undermines the sustenance of the
projects benefits. A WSP (2001) study reveals that the costs of operation and maintenance

380

of rope hand pump in Nicaragua is only US$10 per year as in contrast with the India Mark II
of US$59-107 per year. Water tariff is a means of recurrent costs recovery from the hand
pump which can be used for the annual operation and maintenance as in the case of Ghana
(Harvey et al, 2002). An understanding of the real costs of operation and maintenance of
hand pump water project is important but usually neglected.

3. General Perspectives in Sustaining Project Benefits.


Projects are regarded as a temporary undertaking to create a unique product or service
(PMI, 2000). However, the British Standard states that projects are unique set of
coordinated activities, with a definite starting and finishing point, undertaken by an individual
or organisation to meet specific objectives within defined schedule, cost and performance
parameters (BS 6079, 2000).Whatever be the understanding from these definitions,
Cusworth and Franks (1993), describe it as the venture of capital in a time-bound
interference to create fruitful assets. There is need to see beyond the project to the creation
of assets of continuing benefit and value to the clients and beneficiaries. The post-project
phase of commissioning, operations and maintenance for project sustainability is
considered. Project Commissioning is that phase connecting the project implementation to
the project operation and marks the handing over time when the assets created by the
project is put into use. Cusworth and Franks (1993) maintain that the thought that the
facilities once created could immediately be put into operation and that no running in period
was required is contradictory, misleading and is discarded. Sometimes an important activity
such as commissioning, which is a key step to project successful operation is overlooked in
project planning and management. Operational objectives entail putting the created assets
into use, looking at the most efficient, effective and profitable strategy of operating them, and
training the operators or users in an economically effective and efficient manner, with the
familiarisation of the clients with the products or services that may be availed to them. Safety
objectives entail passing tests and safety checks, training and testing operators in
emergency procedures and the search for hazards to which the facilities might give rise to
contractual objectives entail providing predictions of performance, passing of acceptance
tests and provision of triggers for payment stages. Once the commissioning phase is
completed, the operational phase of the project starts which covers the period when the
project starts normal activities to yield the expected benefits. Cusworth and Franks (1993)
maintain that commissioning is an important phase in the project cycle but too often
insufficient attention is given to it during the project preparation phase, even many
contractual project cycles do not include it as part of the project development. Nevertheless,
three main features exist in managing operations which are

Operational procedures: Ensure the effective operations, safety, records and


maintenance of the created assets/facilities. It entails aspects such as what, who
and how things must be done.
Resource Control is concerned with the management of capital, fund, materials and
machines for the effective operation of the project.
Environmental project Relationship: Entails the management through monitoring and
control of the internal and external environmental system in relation to the project
output and possible impacts to the project operations.

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According to Field and Keller (1998), effective and efficient project maintenance is a key
element to sustaining project benefits and health or safety. It takes the form of planned
maintenance programmes, which ensures that the assets created, continue to operate
continuously without further injection of external resources from the government or donor
agency for rehabilitation. Cusworth and Franks (1993) assert that project maintenance goes
beyond keeping the facilities in operation, to a maintenance programme based on the
principles of moving from the crises of unplanned maintenance to the inevitability of
planned, preventive maintenance There are a few project Management constraints
associated with hand pump operated water supply projects. The constraints are lack of
technical know-how and local management staff as a result of insufficient capacity building;
lack of education, information, awareness, participation, involvement, decentralisation and
communication; much interest on the implementation stage; and lack of monitoring and
appraisal/evaluation strategy..

4. Micro-Projects Programme (MPP3) and VRCWSP Projects.


4.1 Methodology
A qualitative approach with two explanatory case studies was used. The study reviewed
reports on the Volta Region Community Water Supply Programme in Ghana and the MicroProject Programme (MPP3) in the Niger Delta region of Nigeria. For the MPP3, the report is
a midterm evaluation aimed to assess the relevance and the performance of the programme,
its impact on poverty alleviation among the rural communities and its contribution to the
reduction of the social tensions in the area; review the organisational and management
structure of the Micro-Projects Management Unit (MMU) and advice on appropriate
enhancement. It is also to advise the Technical Programme Committee (TPC) and MMU in
policy formulation for further implementation of the MPP3 and investigate factors that ensure
the project sustainability. This was geared toward ensuring that the objective of the MPP3,
which is to help improve the living standard in poor settlements of the Niger Delta (Rivers,
Bayelsa and Delta States) in Nigeria, contributing to the reduction of the poverty, social
tensions and crisis. The purpose of the project was to implement basic infrastructure and
support income-generating activities. The MPP3 is an evolution from the Lom convention
and the multi-annual micro-projects programmes, one of the instruments the EU/ACP uses
to build a development co-operation with nations. It was on this basis that the Federal
Republic of Nigeria and the Commission of the European Communities commissioned the
Micro-Projects Programme (MPP3) for a total amount of 21 million in the three core Niger
delta states.
The Volta Region Community Water and Sanitation Programme started in the Keta
Municipal, Ghana but other areas were also covered through a non-governmental
organisation such as Danish International Development Assistance (DANIDA) in pursuit of
adopting, implementing and achieving the Millennium Development Goal (MDG) objectives
in Ghana. The programme overall aimed to provide 49% of the rural communities in the
region with potable and accessible drinking water. The overall objective of the programme
was to bring water supply and sanitation services in rural communities and small towns up to
basic acceptable levels; to ensure sustainability of the services; and to promote the best use
of the services so as to realize their potential benefits. The programme used the approaches
of community participation; demand driven approach to the utilization of funds under the

382

programme; community management concept; private sector participation in implementing


the programme; municipal assemblys involvement; and community water and sanitation
agency as facilitators.
The choice of these cases was hinged on the premise that it offered an in-depth
understanding and explanation of the issues affecting rural water supply sustainability,
convenience, time and cost reduction. The study also reviewed national statistics on water
supply sources in Nigeria. Both cases are within the West African sub-region and share
similar geographical, socio-cultural, political and environmental norms and values. A content
analysis method was used to compare and contrast various dimensions from the selected
cases. Participant observation and also played a key role in the methodology. The
discussions are based on the sustainable factors and the post-project management
approach to community hand pump operated water supply projects and the sustenance of its
benefits such as: policy support; institutions and project operations management structures;
maintenance management; project commissioning; environment/ technology; community
perception/involvement; economic/financial contributions; and monitoring, evaluation, and
reporting strategy (Harvey et al, 2004, Parry-Jones et al, 2001, Cusworth and Franks, 1993).

4.2 Findings/Discussions
The study reveals that community hand pump operated water supply project benefits, are
sustainable where all the institutional factors and the post-project management approaches
are properly incorporated, interconnected and tackled rather than focusing on wider
institutional issues alone. Also, that some intervention is in reality run as a project instead of
programme as claimed in their objectives. This is indicated in the case of the MPP3 in Niger
Delta region of Nigeria. From the critical analysis of the MPP3 and the VRCWSP, the paper
suggests that wider external project environmental issues and internal project environmental
approaches is very important and fundamental, except monitoring, evaluation, and reporting
which remains the mortar to all other factors.
4.2.1 Technological Factors
Most hand pump operated water supply project failures are associated with lack of
standardised spare parts, hardware problems, technological transfer and unplanned
maintenance design. In the case of hardware problems, the most frequent issue is the
breakage of pump rods (Parry et al., 2001), as it is noticeable in Nigeria, Ghana and other
African countries, but the level of this problem regarding sustainability is a function of the
technological advancement of that country in the area of water supply. However, local
manufacturing of hand pump particularly in Nigeria is predominant which is in line with the
Afridev and India mark III technology but the quality and durability of these pump are often
poorly manufactured to the extent that its use becomes risky to water provision (Parry et al.,
2001). Nevertheless, quality specification can be put in place and monitored for compliance
on the hand pump production for hand pump sustainability in Niger delta. Irrespective of this
strategy, most of the locally manufactured hand pumps are more costly in certain Niger delta
states than those imported.

383

4.2.2 Policy Support:


Policy is aimed to provide a supportive and conducive environment for community water
supply. With clarity and proper enforcement/implementation of the developed policy, the
better the project benefits sustenance. Hence, successful community water supply
management requires policy and strategic support from all levels of the government. The
VRCWSP has a national policy strategy for community rural water supply to grassroots
communities through the Community Water and Sanitation Agency (CWSA), whilst the
MPP3 has a policy statement at the national level without proactive strategy to encourage
the policy to the rural community. Also, the VRCWSP policies supported and encouraged
community rural water management, contributions, involvement, ownership and
standardisation of hand pump water supply system and the hand pump project benefits is
sustained (Harvey et al, 2002) whilst the MPP3 lacks this merits (MPP3 report, 2006).
According to Harvey et al (2004), there is no guarantee that the development of appropriate
policy for community hand pump operated water supply project benefits sustenance will
result in sustaining water supply but a dynamic process is encouraged to regularly repeat,
review and revise policy as to address the problems
4.2.3 Project Commissioning:
This is a fundamental issue in project sustenance usually overlooked in project management
cycle. It is the period of handing over the created asset to be put to productive use. In the
case of the VRCWSP in Ghana, commissioning is seen by the government, donor and the
beneficiary communities as an event driven activity signifying their empowerment to totally
participate and commit to the management and operations of the project. The project
commissioning is done between the government, the donor and the recipient communities.
Whilst in that of the MPP3in Nigeria is between the government and donor (EU) and at times
even done on radio or television announcement, based on the authors experience. The
hallmark of transferring the created asset from a project to a system guarantees that
operational, safety and contractual aspects are more certain with the VRCWSP, therefore
making the project benefits more sustainable and assured in the Ghana VRCWSP than the
MPP3 in Nigeria.
4.2.4 Institutions and Project Operations Management Structures:
Sustaining the project benefits is a function of the institutions/operations management
structures put in place to manage the on-going project system when the created assets are
put into operations. The VRCWSP has strong and proactive management structures starting
from the CWSA, the District Assemblies to the village technical teams with two-ways
feedback reporting system. This indicates that the projects are managed, maintained,
financed through community contributions, controlled, used and monitored by the community
and the CBOs focuses on the Project Operations Management (POM) of procedures,
resources control, and procurement. In contrast, the MPP3 has only an implementation team
and no OPM structures in place either within the community or from the national level to
manage the post-project operations, which implies that at the completion of the project, the
team ceases to function and then, water supply sustenance is doubtful.

384

4.2.5 Community Social Perceptions:


According to Anand (2007), UNDP (2006), ParryJones et al (2001), Harvey and Reed
(2004), Cleaver, (1991), WELL, (2001), Woodhouse, (1999), etc, community social aspects
in terms of their needs and priorities, technology choice acceptance, gender diversity, village
level power structures and project ownership, capacity buildings, involvements,
participations and communication are vital and fundamental.. In the VRCWSP case, the
recipient communities have their rights to choice of technology option, take ownership,
participate and involve right from the on-set project initiation phases. Communities make
financial commitments, which give the community the opportunity to be aware of the product
that is to be delivered in their communities. Also community capacity building is done to the
CWSA, the District Assemblies and to the Village Machines Teams (VMT) on regular basis
to take new challenges. Because of these, the community make their highest total
commitment and financial contributions to projects maintenance and sustenance. On the
other hand, the MPP3 in Nigeria considered all these issues as typically revealed in the
implementation strategy adopted. Also, capacity building and inclusion of the women in the
community implementation committee is considered. But the choice of their needs and
priorities, appropriate technology that will be cheap to maintain and ownership of the project
is to debate as most of the implemented project are imported into the community on the
grounds that, it is the decision of the government and failure to accept the technology
deprives the community the opportunity.
4.2.6 Programme/Hand pumps Project Maintenance Management:
The sustenance of the water supply projects depends on the maintenance approach
implanted for the continuous operations. The preferred approach is the planned preventive
method, either routine regular or periodic shutdown maintenance,
as unplanned
maintenance leads to maintenance crises thereby affecting the benefits sustenance. On the
VRCWSP, the community maintenance teams CWSA, DA and the APM including caretaker
committees set-up by the community do the maintenance operations. These bodies through
the VRCWSP charge and collect water tariff at the hand pump points which is used for the
repair, purchases of spare parts and other necessary routine services. Through the VLOM
approach to rural water supply, the VRCWSP emphasised the choice of when and who to
involve in the hand pump mechanics and to make payments of all repairs. The community
selects people who are trained in hand pump habitual repairs and fault identifications. The
strong supported community operated maintenance system via planned preventive through
routine regular maintenance strategy provided more than 85% of steady potable water
supplies in the recipient communities. On the other hand, the MPP3 has no advantage of
this sort, as their main focus is to complete the project without evaluating the internal and
external project environment for the hand pump water project benefits sustenance in the
communities.
4.2.7 Financial/Economic Issues:
According to MacDonald and Pape (2002), cost recovery system is a better choice for the
community operation and maintenance of community rural water supply through hand

385

pumps. This entails the act of charging the recipients of the service the full or near full costs
of rendering the services including the costs of constructions, installations, operations and
maintenances. In the VRCWSP the communities are charged money in form of water tariff to
cover hand pump repairs, spare parts purchases and replacement. The communities are
mainly supported to ensure all costs related to the operations and maintenance while
monitoring and reporting plus other administrative costs are the institutional responsibilities.
In the case of MPP3, the emphasis is made on community contribution to the project
implementation costs without thought to the post-project success and benefit sustenance to
the beneficiaries. There are also no strategies in place to encourage the community to
provide recurrent cost of the project after completion since the operational costs are not
made feasible to the communities. Franks (2006) and Harvey and Reed (2004) argue that
for the project benefits sustenance, all the financial /economic issues to the direct cost of the
O&M must be known to the communities and should be willing to contribute to cover such
amount.
4.2.8 Environment and Technology Issues:
Technology choice depends on the environmental condition as well. The communitys right
to choose from a range of technology options that is most appropriate, low-cost, easy to
maintain, repair and affordable is significant rather than sophisticated one that is difficult to
understand and manage by the community. Considering the cases, the MPP3 water supply
failure is related to the hydrological nature, water quality, the groundwater level, pump type
and the well siting and lack of drainage around the hand pump (MPP3 report, 2006). Also,
the inability of the project provider to allow the community to choose from hand pump
alternatives that will suit the community is lacking. According to Harvey et al (2002), the
VRCWSP considered the benefits, limitations, costs, maintenance and management needs
of the present environment, technology preference and then allowed the users to make
decisions on which option that will better address the priority need of the community.
Therefore, the environmental and technological sustenance of water supply project benefits
demand full assessment and assurance of the water availability as the more porous the
basement rock and moderate the depth, the better the aquifer and the more the water quality
and availability with less difficulties of operations to the people.
4.2.9 Monitoring, Evaluation, and Reporting:
Monitoring, evaluation and reporting is the mortar that holds the other factors of sustainability
and the post-project management phases together. Monitoring is an on-going process that
ensures the determination of whether or not a particular approach is achieving set
landmarks. The VRCWSP opted and adopted a strong monitoring, evaluation and reporting
process that made the recruitment of environmental health officers in the hand pump water
projects management team at all community levels. It is now established at the village level
for community to play central role in project supervision, feeding the CWSA with adequate
information need for the compilation of periodic reports (Harvey et al, 2002). On the MPP3,
monitoring ends once the project is implemented. Above all, the critical analysis shows that
sustainable water supply projects, benefits, is achievable through regular monitoring,
evaluation and reporting of the various sustainable factors and the post-project management

386

approach of project commissioning, POM, and PMM. However, the procedures adopted are
no guarantee to the sustenance of community rural water supply project benefits rather it is
to be implemented and managed as a process than as a blue-print project.

5. Conclusion
Community rural water project and the benefits are sustained when the various concepts
and management of the post-project issues are understood, correlated, applied and
followed. As well as having strong policy support from the national level to the community
with regular monitoring and reporting, helping to identify areas of concern for immediate
mitigation measures. It is only on this proviso that community rural water supply through this
alternative would have 85-90% functionality and sustainability. Also, community involvement,
contributions, ownership and participation in making technology preference, needs to be
proactive. Although, huge success with the advent of good paper strategies for the
implementation of the projects exits, the sustenance of the benefits of these projects is
doubtful when it fails to encourage community water management, ownership, technology
choice, and environmental assessment. Above all, the post-project management approach in
addition to monitoring, evaluation and reporting which are the pivot to the other factors that
usually ends once the project is implemented, is pertinent. The community should be
involved and allowed participation in the project decision- making stages leading to no
imposition or deprivation of projects to the communities. This paper advocates careful followup of the post-project management approach and suggests that the institutional factors are
vital where the benefits of community water supply projects is to be achieved.
This paper recommends that community rural water supply using whatever technology
alternative should be managed as process rather than as a blue print -project. This will allow
future challenges associated with a particular alternative to be properly managed through
regular reconsideration, amendment, and possibly modification as the case may be. Also
further research should be contextualised and where possible no hand pump project should
be implemented in any particular environment without a strategic approach for the
maintenance. Communities should be encouraged to set-up their own management
committee and structure to look after the on-going operations and maintenance of their
respective hand-pump water projects.

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389

Residential real estate education and globalisation


in Australian real estate markets and practices
Po-Jui Wu1, Chris Eves2
Abstract
The purpose of this scoping paper is to offer an overview of the literature to determine
the development to date in the area of residential real estate agency academic and
career education in respect to Foreign Direct Investment (FDI) transactions and
implications in Australia. This paper will review studies on the issue of foreign real
estate ownership and FDI in Australian real estate markets to develop an understanding
of the current state of knowledge on residential real estate agency practice, career
education and real estate licensing requirements in Australia. The distinction between
the real estate profession education, compared to other professions such as
accounting, legal and finance is based on the intensity of the professional career
training prior or post formal academic training. Real estate education could be carried
out with relatively higher standards in terms of licensing requirement, career and
academic education. As FDI in the Australian real estate market is a complex
globalisation and economic phenomenon, a simple content of residential real estate
training and education may not promote proper management or capacity in dealing with
relevant foreign residential property market transaction.
The preliminary summarising from the literature of residential real estate agency
education, with its current relevant or emerging licensing requirement are focused on its
role and effectiveness and impact in residential real estate market. Particular focus will
be directed to the FDI relevant residential real estate agency transactions and
practices, which have been strongly influenced by the current residential real estate
market and agency practices.
Taken together, there are many opportunities for future research to extend our
understanding and improving the residential real estate agency education and training
of Foreign Direct Investment in the Australian residential real estate sector.
Keywords: Foreign Direct Investment (FDI), Real Estate Education, Australia,
Globalisation, Ownership

PhD Candidate; Science and Engineering Faculty, Civil Engineering and The Built Environment,
Property and Planning; QUT; Po Box 695 Nathan, QLD 4111; 2012raymondwu@gmail.com.
2
Professor; Science and Engineering Faculty, Civil Engineering and The Built Environment, Property
and Planning; QUT; GPO Box 2434 Brisbane, QLD 4001; chris.eves@qut.edu.au.

390

1. Introduction
The residential real estate sector is one of the critical economic indicators for a country,
contributing significantly to GDP, and having extensive connection with other industries,
such as construction, investment banking, insurance and many more. Since adopting the
Australian Economic Policy in the 1980s, Australia has increased its trade intensity from
28% to 40% and household estimated income of $3900 per annum (Department of Foreign
Affairs and Trade 2011). Since the Annual Demographic International Housing Affordability
Survey, increasing Foreign Direct Investment ( F D I ) inflows for the acquisition of
residential real estate identified the ownership affordability crisis in Australian metropolitan
residential real estate as amongst the most severe in English-speaking nations. To its
extent, conflict has gradually arisen between domestic and foreign ownership in the
Australian residential real estate market (Kotkin 2011; Bruegmann 2012).
More international residential real estate has begun transacting since the early 1980s
keeping pace with the globalisation phenomenon. Nevertheless, Australians enjoys the
economic growth from the benefit of globalisation. At the same time, there is noticeable
concern of speculation activities in the Australian residential real estate markets, where
extra capital has not been structurally distributed and is instead being misallocated with
unproductive activities. For example, Australian residential real estate education does not
sufficiently train the real estate profession to act as the frontline gate keeper from the
reverse effect from globalisation for the Australian residential real estate markets instead
contributing some or in part to the speculation activities. Furthermore, real estate agents
require minimum formal academic or professional qualifications which has caused some
concern and consequence in regards to the injustice and asymmetry real estate market
condition (Bishop 1993; Small 2001).
Increasing percentage of domestic and international home investment and purchase are
demanded in the Australian residential real estate markets. There were 7,265 real estate
agencies during 1992 to 1993. At the end of June 2003, the real estate industry contributed
around $6.818 million to GDP, although more than 2763 people joined and worked in the
real estate services industry. There is a trend of an increasing number of real estate
businesses, especially small companies, joining the real estate market. The Real estate
industry recorded the largest absolute increase in operating profit before tax in 2010
($11.1b). Over the five years through to 2011, revenue within t h e real estate industry is
expected to grow at an average annual rate of 1.5% (Australian Bureau of Statistics
2011). Given the significance of residential real estate education, markets in respect to
foreign and domestic ownership of Australian residential real estate market, it is worthwhile
to conduct further research on the relevant issues.

2. Literature Review
2.1 Education and Standard Operation Procedure in Australia
Unlike other business sectors with higher industry standards, such as accounting, banking
and finance, influenced by the widespread phenomenon of de-regulation in the 1990s, the

391

real estate sector minimised its self-regulating Standard Operation Procedure (SOP). One of
the important traditional resources integrated in the franchise system in some cases is to
reinforce the re-training on SOP or certain standard of practices conduct in order to lessen
the agencys costs and problems within a real estate organisation (Flint-Hartle and De Bruin
2011).
A real estate agent is required a minimal education in dealing with such important capital
assets or heavy mortgage burden for average householders. However, each of the states in
Australia has a different standard of real estate education, including registration and
licensing training course. Moreover, Small (2001) concurs that there is relatively little
practice training and SOP available for agents. On the other hand, the Australian residential
real estate markets attract a large number of foreign direct investments which will be a far
more difficult and complex issue. Authors such as Storms (2000) argued that some real
estate investment transactions are highly complex. He further pointed out that the current
estate financial planner has low educational requirements. Foreign real estate transactions
involve more complex financial planning analysis for each individual investment. Real estate
agents with absolutely no relevant financial planning training have played a blurred role of
estate financial planner confined in the past legislative regime (Storms 2000)
Research carried out at the tertiary level has a little sound understanding of the Western or
other institutionally based contemporary real estate theory and relevant agency practice
(Small, 2001). Some high-context Asian cultures practice systems of land real estate that are
quite evidently feudal and different to Western systems (Small, 2001). Percudani (2010) also
stated that the current law imposed on the licensed principal agent, including new consumer
protection law could improve agency practice as it will be the responsibility of principals to
ensure they have employed, and then appropriately trained and equipped sales people,
including consumer protection obligations. Potential concerns are raised in dealing with
investors from foreign cultures with differing value systems. It is important to investigate the
effect of relevant issues (Sharma and Bandara 2010).
The lesson should be learnt from the United States secondary loans in the housing market in
2008. However, misbehaviour is difficult to identify with current real estate legislation or state
consumer protection. It has indeed relied on the general guidelines of Commonwealth
consumer protection of misleading and misrepresentation (Parliament of Australia 2011).
Furthermore, despite academics promoting the benefits and significance of jurisdiction and
dual agency significantly reducing sales prices, there still appears to be a much smaller
influence to date after the legislation (Kupke 2004; Gardiner et al. 2007). The desire is to
build real estate education extending beyond the traditional valuation and analysis fields
(Hefferan and Ross 2010). It is for this reason that ideas are developed politically and
educationally, as suggested by Crews (1998) in which real estate agents have to pay
attention in developing strategies to ensure the needs of society. With the current advanced
technology used such as the World Wide Web, Information system database, 3D
photography (real estate dot com). The service offered by real estate agents in the past is no
longer genuine but possible for substitution in the foreseeable future.

392

This paper with the relevant literature argues that real estate education has to improve the
quality or standards in order to meet more contemporary complex Globalisation issues
currently facing the real estate industry (Newell and Acheampong 2002; Schulte et al. 2005).
For example, the buyer has the potential to be ill-represented in the overwhelmingly dual
agency environment in real estate markets and practices in Australia (Blumenthal 1995;
Zeitz and Newsom 2002). Foreign direct investors are likely to suffer in a higher degree of
information asymmetry, wrong perceptions and ethical issues in the transaction. The new
Occupational Licensing National Law Act 2010 will list real estate licensing in the first wave
of the standardisation process which may begin in July 2012 (National Occupational
Licensing Authority 2010). It has long been a concern for public policy makers of misconduct
and mismanaged agency behaviour. It is deemed the first step to improve the real estate
agency practices in Australia. (Clauretie and Daneshvary 2008; Dickie 2011). It will
summarise ownership in the Australian residential real estate markets in the next section. It
will clearly discuss the relationship between real estate education and ownership.

2.2 Ownership
Australian residential real estate ownership changes from time to time and from domestic to
international externality effects, including the international financial market, exchange rate,
interest rate and FDI or global economy movement. The issue of foreign residential property
ownership and its impacts, availability, affordability has been a concern for Australian
regulatory bodies since 1960. In line with one key issue in residential real estate education, it
is critical to deal with residential real estate foreign ownership by employing this specialised
real estate education in the relevant field of study (Schulte 2003). Indeed, foreign direct
investment (FDI) in globalisation practice is made more complex by dated real estate career
and training requirement in Australia.
Seabrooke et al., (2008) concluded that the economic transaction in international real estate
including FDI, marks the point at which ownership rights are assigned or exchanged. On the
other hand, several authors indicated that residential real estate ownership is commonly
associated with obligation to the state and a mean of social right instead of wealth
(Mortensen and Seabrooke 2008; Small 2004). Indeed, it is a challenge for policy makers to
balance the policy regards residential homeownership between social right and solely
economic transaction. However, Australia now has a certain degree of limitation on FDI
which has been imposed by the Foreign Investment Review Board (FIRB), an advisory
government agency in dealing with FDI in the Australian residential real estate market.
However, some research indicates the FIRB guidelines of FDI in the residential real estate
sector have a potential nature of foreclosed ownership. For instance, the FIRB guidelines
potentially mean the foreign entity have limited rights in full possession of the ownership
(Commonwealth of Australia 2011).
The globalisation of economic activity stimulated a large number of international real estate
transactions which has also brought benefits to the economy and residential real estate
industry with opportunity costs in Australia. There are also some opportunity costs from
globalisation in the residential real estate markets, agency practices and education. These
opportunity costs are the issue of affordability, likely reduction of Australian domestic

393

residential ownership, government restriction imposed to FDI and confrontation between


domestic and international residential ownership and quality improvement on real estate
education. Furthermore, it potentially facilitates domestic real estate speculation with current
real estate practice which can result in a bubble Australian residential real estate markets. In
recent years, Australia has become one of the nations encountering the most unaffordable
properties amongst the English speaking nations. Additionally, there are numerous problems
of affordability and availability that have resulted from the restriction on land development on
marginal urban areas (Gao 2005; Bruegmann 2012; Kotkin 2011). According to FIRB data
released in August 2009, these direct impacts of foreign investment of the Australian real
estate market represent an increase of 30%. FIRB believes that FDI has resulted in
increasing residential real estate prices and increasing borrowings (Mortensen and
Seabrooke 2008; Bentick and Lewis 2003). Those concerns have gradually become a
deliberation for all Australians for the best solution that either blocks all FDI or welcomes it,
with well-trained real estate professionals to handle the extra capital and minimise the
adverse effects. The media and scholars have reported on real estate agency practice
speculation activities such as real estate investment seminars, two-tier marketing, and the
bubble effect of price estimation. Hence, this paper argues that there could be a better
management put in place either from the government or industry self-regulating professional
standard.
The effect of FDI has rapidly increased in Australian ownership since opening up economy
and globalisation. It is instructive to consider FDI undertaken through chains of ownership by
FDI. Hence, the next section will review the literature of FDI in Australian real estate markets
to develop an understanding of the current state of knowledge on the requirements of the
education systems in Australia.

2.3 Foreign Direct Investment


The Australian residential real estate markets rapidly increased demand by domestic or
foreign purchasers since the opening up economy and globalisation Policy by the Hawke
Government in 1983 (Department of Foreign Affairs and Trade 2011). The FIRB introduced
policy and a new screening program in sensitive residential real estate markets between
2008 and 2011. In general, FDI in residential real estate markets has dramatically decreased
an average 20% annually since 2008 (Blonigen 2005). It could increase the regulatory cost
for investors. Furthermore, domestic and international investors in residential real estate
markets will act closely with the government and Central Bank policy making process and
outcomes. The issues of exchange rate, competitive advantage, and interest rate
surrounding FDI in globalisation practice will be taken into consideration by policy makers of
the appropriateness of tightening policy at the time of global financial chaos from year 2008
to the present. FDI thus become one of the most modern forms of international real estate
phenomenon (transaction) as FDI is getting more prudent and well-educated on the
knowledge of prime international real estate investment (Seabrooke et al., 2008).
In the past, urban development in residential real estate was focused on state regional or
even in the local council areas. In early 1980 and 1990, private foreign investment was
mainly underlying to share-holding or portfolio types of real estate investment (Seabrooke et

394

al., 2008). In addition, the OECD has investigated that FDI in Australia is restricted in the
real estate sector, where FDI in the real estate index ranked 0.3 compared to an average of
OECD countries 0.283 and average of all countries 0.281 respectively (restrictiveness = 1,
open = 0). The real estate Index used weights largely based on the sector share in global
real estate FDI flows. Overall speaking, Australia is a country with restrictive policy toward to
FDI which is ranked relatively higher by the OECD amongst the OECD member countries
and average of all countries, where FDI Index Scores by Country score Australia 0.138, all
countries 0.117 and OECD average 0.095 (restrictiveness = 1, open = 0). Hence, the
recommendation of the OECD is that Australian foreign investment rules could be more
relaxed (Jinjarak 2007).
In the international FDI framework, foreign investors informally represent their home
countries; protectionist trade policy could lead to retaliatory consequences of deteriorating
diplomatic relations between host and home countries and face various expropriation risks.
Protectionist policy in residential real estate markets is twofold, whereas it could result in
harmful perception to international investors, loss of credible commitment, fewer economic
ties with others and careless externality pressure. It could potentially mean loss of jobs,
more external debts, affordability crises in residential real estate markets and even domestic
financial crises.
The tightening policy was initiated in 2008 by the Australian Labour Party. It means that
there is no sign nor, yet any effective measurement in improving the speculative activities. At
present, there are no guaranteed property rights, free transfer of property by either voluntary
contractual agreement or keeping promise made in relation to social transactions. It has
become an institutions risk for FDI in engaging in international real estate transactions with
Australian residential real estate markets. In line with the argument of Karl-Werner Schulte
(2005) real estate education needs to convey the knowledge required for property
involvements in the global context. Indeed, it is the most urgent and important aspect of
structural reforms in the Australian residential real estate industry. The structural reforms
that have recently begun are the first step on the unification of federal licensing requirement.
The ongoing first step measure of the reform appears as a glimpse into further promoting the
current minimal real estate education requirement which is the most essential core value of
training real estate professions in dealing with the complexity of FDI or international real
estate as a globalisation phenomenon.

3. Research Methodology
This scoping paper is based on the real estate educational system that will be summarised
from the dominant residential real estate professional bodies in the following institutions:
Real Estate Institute of Queensland (REIQ), Real Estate Institute of New South Wales
(REINSW), Real Estate Institute of Victoria (REIV), Real Estate Institute of Northern Territory
(REINT), Real Estate Institute of Western Australia (REIWA) and Real Estate Institute of
Southern Australia (REISA).
Data from the websites of these six institutions were conducted over a 2 month period from
October to November, 2012. Furthermore, all the data from all the profession institutions

395

have been the most up to date version on 13th November 2012. To determine a more
accurate level of information, all data are updated information for research method in this
research which making replicable and valid inferences to provide a representation of facts
and a practical guide to action. It was found that the educational system and Standard
Operation Procedure in each of the states have a different standard to follow (Table 1).
Table 1: A summary of licensing requirement of professional bodies in Australia
Residential Salesperson

QLD

NSW/ACT

VIC

WA

SA

NT

Shortest Time in completion of


registration

10 days

4/5 days

5 days

8 days

6 wks

52wks

Units in completion of
registration requirement

7 units

4 units

3 Units

7 units

17 units

24 units

Interim Registration

No

No

No

No

No

Yes

Salesperson Registration with


Certificate III Units

No

No

No

No

Yes

Yes

Employment requirement

No

No

No

No

No

Yes

Shortest Time and units


completion of Licensing

12.5/5 days,
full/fast track

25days

2months*

6 months

6 wks +
8 units

52 wks +
External

Units in completion of Licensing


requirement

19

21+3
registration

24

26

25-27

26

Diploma otherwise Certificate III

No

No

No

Yes

Yes

Yes

Employment
Requirement/*salesperson
registration

No

Yes*

Yes

Yes

No

Yes

Compulsory Continuing Career


Development (CAD),
*=available

No*

Yes

No*

Yes

No*

No*

Developer

Yes

No

No

No

Yes

No

Buyers agent

Yes

Yes

Yes

No

No

No

Education with Finance Stream

Yes

Yes

Yes

Yes

Yes

Yes

Economy, Investment, &Foreign


Investor Stream, Taxation and
Accounting, Ability of future
excellence of research and
development

No

No

No

No

No

No

Licensing Course

In the preliminary analytic process, this paper strives to make sense of the data and present
the real estate educational system in Australia. All the available residential real estate
registration and licensing courses are currently synchronised with Australian National
Recognised Training. Firstly, they provide the variety of the delivery modes in order to
provide flexibility. For example, the days of shortest time in completion of registration in
Northern Territory is 1 year followed by South Australia (6 weeks), Queensland (10 days),
Western Australia (8 days), Victoria (5 days) and New South Wales (4 days). Also, similar
professional training could be undertaken in the other occupational institutions such as TAFE
or other recognised private occupational training providers. Notably, the Real Estate
Institution of Northern Territory describing the agents Representative Introduction course
contains a non-in-depth knowledge of the real estate industry, but only introduction to the

396

basic legislative requirements and type of work in the real estate industry. According to the
table, a registered residential salesperson in Queensland, New South Wales and Victoria is
considered an industry profession without an in-depth knowledge of the real estate industry.
According to Table 1, Northern Territory (REINT) has the best carrier training standard in
residential real estate salesperson registration than in Queensland, New South Wales and
Victoria. Moreover, Northern Territory is the only state to offer the Interim sales
representative registration with the supervision of a licensed agent in the progression of
introduction to real estate sale representative course. For instance, it is very similar to the
mentorship of the accounting profession. In Northern Territory, to be a registered sales
representative one has to firstly complete the introduction and concurrently enrol into the
Certificate IV in Property Service. The Licensing Course at the diploma level is comprised of
25-28 Units which are only available in Western Australia, South Australia and Northern
Territory. The Certificate III Licensing Course is offered by Queensland, NSW (ACT) and
Victoria. As mentioned previously, under the new unification of Occupational Licensing
National Law Act 2010, all the training is now synchronised in the similar bases. The content
units in Table 1 offered by REINT covers most of the units availability in other states with
minor differences in the legal framework in each states.
Table 2: A methodology summary of previous research
Year
2011

2010

Surname
Flint-Hartle
and de Bruin

Sharma and
Bandara

Keyword

Method

Summary Finding

franchising, New
Zealand, real estate
brokerage, system
success

Quantitative:
Second Hand
and Qualitative:
interview

The franchise system in some cases is


to reinforce the SOP or certain standard
of practices conduct in order to lessen
the agencys costs and problems within
a real estate organisation

Foreign Direct
Investment, Australia,
Regional integration

Second hand
data, Examine
Hypotheses

Australia could deal effectively with


inward and outward foreign direct
investors with similar cultural or
language background. Hence, in certain
degree loss of international linkage
which is not addressed in real estate
education

Quantitative,
multiple
regression
2010

Hefferan and
Ross

Universities, Higher
education,
Professional services,
Property, Australia

Qualitative:
Interview,
content analysis

There is a strong demand for


tertiary/property real estate education
as it is the critical economic sector in
Australia.

2007

Small and
Karantonis

Property education,
academics, teaching

Qualitative:
Survey

There are absences of terminal


degrees, compensated for by strong
industry experience. It appears to be an
over-emphasis on Lecturer level
academics. The challenge of limited
upper level academic. It is a challenge
to the quality of university education.
This has potentially identified the
problem that it is questionable that real
estate career training is conducted by
an instructor of strong industry
experience without formal trained
academics.

2005

Schulte,
SchulteDaxbok,
Holzmann and

International Real
Estate Education

Qualitative:
university

1. Increase the proportion of


departments and faculties that cover
foreign countries from a real estate
perspective. 2.International real estate

real estate

397

Wiffler

programme web
scanning,
Quantitative:
survey

education curricula could be enhanced


by accredited internationally recognised
bodies to gain reputation and
international cooperation

2003

Schulte

Real estate,
investment, finance,
education

Quantitative

At present, real estate investment and


finance play an important role in real
estate discipline. However, FDI being
the critical form of real estate
investment is indeed being overlooked
in the development of relevant fields of
study in real estate discipline either in
University or industry level throughout
the world.

2002

Newell and
Acheampong

Property education,
GCCA surveys,
benchmarking,
teaching quality,

Quantitative:
Survey

A broader property education strategy


is clearly needed. The strategy is likely
to draw on teaching approaches from
other disciplines, integrating national
and international best practice, as well
as expanding the benefits of the
property industry assisting more
effectively in property education.

Qualitative: Law
review, Case
Study

Real estate agent has to be careful in


developing the strategy to ensure the
needs of society. The importance of
training and education is one of the
major strategies.

student satisfaction.

1998

Crews

Real estate agency,


real estate agency
practice,

To date, real estate studies have been focused with the foreign direct investor dominating
the real estate studies undertaken. Australia should deal effectively with inward and outward
Foreign direct investors with a similar cultural or language background (Sharma and
Bandara 2010). This has caused the costs and problems of the certain standard of practices
within a real estate Industry (Flint-Hartle and De Bruin 2011). This paper has identified the
problem for further research that it suspects that real estate training and/or licensing courses
are conducted by instructors with industry experience, but without formal training (Small and
Karantonis 2007). Finally, there has been little examination of the impact of educational
importance in recent real estate studies despite our knowledge that real estate education
exists. Clearly, there is a need for greater effort to investigate global real estate education
especially in the area of Foreign Direct Investment. The preliminary findings above provide a
useful reference and guide by a summary of key characteristics. Still, there is a room to
extend and enrich real estate education with border strategy. The strategy is to draw on
teaching approaches from other disciplines integrating national and international best
practice (Newell and Acheampong 2002; Schulte et al. 2005).
This paper also recommends future research with similar approaches as shown in the table
above. It should examine real estate education across states to further enhance the
standard of Australian real estate education and career training. In addition, single methods
have dominated real estate studies over the past ten years with considerably fewer studies
utilising multiple methodologies. Therefore, future research studies should utilise mixed
methods when examining this important matter.

4. Conclusion

398

This paper uses the preliminary information of the current education systems from all states
and real estate literature to investigate and again an understanding of the current education
systems in the Australian real estate industry. As the national licensing requirement has
been unified in recent years, gaining a real estate license is to take the diploma of agency
management in South Australia, Western Australia and Northern Territory. In all other states,
the requirement of the real estate licensing course is still not as sufficient as diploma level.
Unlike the professional bodies in other industries, it is designed for specified industry
standard of procedure, research issues, attestation in the previous academic qualifications
or avoiding misbehaviour. This research confirmed with Schultes (2005) study that
Australian real estate agency education is encountering an urgent structural reform in the
nature of regional and national focus.
The different standards of education systems will in turn be vigilant for the Australian real
estate sector which should generate the structures and standards of education systems
across Australia. However, with the issues of agency relationship, social responsibility, and
real estate bubble incurred by agency practice, ethics, training and misconduct have long
been overlooked by real estate professions which reduce customer and client satisfaction
(Zietz and Sirmans 2011). It is critical to address the globalisation of real estate education
for the industry. A more global standard to real estate education can provide a more
professional real estate service for the Australian real estate markets, as well as improving
agents to locate FDI that actually meets all the investment from local and foreign investors.
Future research in this area is therefore necessary to identify the education and globalisation
in the Australian real estate markets.

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